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non-ILAS BIPRU firm
As Published: 2009
non-ILAS BIPRU firm
34 a firm falling into BIPRU 12.1.1R which is not an ILAS BIPRU firm .
half-yearly accounting period
As Published: 2001
half-yearly accounting period
(in COLL ) a period determined in accordance with COLL 6.8.2 R (2) (Accounting periods). 1 6…
segregated client
As Published: 2001
segregated client
a client whose money must be segregated by the firm under CASS 4.3.3 R (Segregation). 5…
IPRU(INV)
As Published: 2001
IPRU(INV)
the Interim Prudential sourcebook for Investment Businesses. 5…
Third Life Directive
As Published: 2001
Third Life Directive
the Council Directive of 10 November 1992 on the coordination of laws, etc, and amending Directives 79/267/EEC and 90/619/EEC (No 92/96/EEC). 3…
CREDS 9 Annex 1 Credit union complaints return
As Published: 2012
CREDS 9 Annex 1 Credit union complaints return
…
Part IV permission
As Published: 2001
Part IV permission
(as defined in section 40(4) of the Act (Application for permission )) a permission given by the FSA under Part IV of the Act (Permission to carry on regulated activities), or having effect as if so g…
affiliated company
As Published: 2001
affiliated company
4 (in relation to a person ) an undertaking in the same group as that person .
railway rolling stock
As Published: 2001
railway rolling stock
(in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph 5 of Part I of Schedule 1 to the Regulated Activities Order (Contracts of general insuran…
ABCP internal assessment approach
As Published: 2006
ABCP internal assessment approach
37 the method for calculating the risk weighted exposure amount for a securitisation position in relation to an asset backed commercial paper programme as set out in BIPRU 9.12.20 R .
pension term assurance policy
As Published: 2006
pension term assurance policy
37 a personal pension policy which is a pure protection contract and in connection with which tax relief is available under Chapter 4 of Part 4 of the Finance Act 2004.
custody
As Published: 2001
custody
3 (in relation to clients ' assets) safeguarding and administering investments .
mineral company
As Published: 2005
mineral company
(in LR ) a company or group , whose principal activity is, or is planned to be, the extraction of mineral resources (which may or may not include exploration for mineral resources ). 28…
Prescribed Markets and Qualifying Investments Order
As Published: 2001
Prescribed Markets and Qualifying Investments Order
5 the Financial Services and Markets Act 2000 (Prescribed Markets and Qualifying Investments) Order 2001 (SI 2001/996).
monthly financial return
As Published: 2006
monthly financial return
36 (in UPRU ) means the return referred to in SUP .
Capital Adequacy Directive
As Published: 2001
Capital Adequacy Directive
the Directive of the European Parliament and the Council of 14 June 2006 48 on capital adequacy of investment firms and credit institutions (No 2006/49/ 48 EC).
target
As Published: 2005
target
(in LR ) the subject of a class 1 transaction or reverse takeover . 50 18…
deferred bonus
As Published: 2007
deferred bonus
41 (in LR ) any arrangement pursuant to the terms of which an employee or director may receive a bonus (including cash or any security) in respect of service and/or performance in a period not exceedi…
general insurance business
As Published: 2001
general insurance business
the business of effecting or carrying out general insurance contracts . 4…
information centre
As Published: 2002
information centre
a centre established by an EEA State to meet its obligations under article 23 of the Consolidated Motor Insurance Directive (Information Centres). 95…