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TC Sch 3 Fees and other required payments
As Published: 2007
TC Sch 3 Fees and other required payments
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Consolidated Life Directive information
As Published: 2007
Consolidated Life Directive information
56 (in COBS ) the Consolidated Life Directive information ( COBS 13 Annex 1 ).
investment firm
As Published: 2001
investment firm
(1) any person whose regular occupation or business is the provision of one or more investment services to third parties and/or the performance of one or more investment activities on a professional b…
UCITS
As Published: 2011
UCITS
43 undertakings for collective investment in transferable securities that are established in accordance with the UCITS Directive .
constable
As Published: 2001
constable
a police officer in the United Kingdom or a person commissioned by the Commissioners for HM Revenue and Customs. 30…
third-country competent authority
As Published: 2004
third-country competent authority
13 the authority of a country or territory which is not an EEA State that is empowered by law or regulation to supervise (whether on an individual or group-wide basis) regulated entities .
CIU look through method
As Published: 2006
CIU look through method
48 one of the standard CIU look through method or the modified CIU look through method .
transaction report
As Published: 2001
transaction report
a report of a transaction which meets the requirements of SUP 17.4.1 EU .1 R and SUP 17.4.2 R (Information to appear in transaction reports). 29…
insurance group
As Published: 2004
insurance group
32 (1) an insurance parent undertaking and its related undertakings ; or 32 (2) a participating insurance undertaking (not within (1)) and its related undertakings .
holding company
As Published: 2001
holding company
(as defined in section 1159(1) 16 of the Companies Act 2006 (Meaning of "subsidiary" etc) 16 (in relation to another body corporate ("S")) a body corporate which: (a) holds a majority of the voting ri…
BIPRU 10 Annex 2 Examples of treatment of intra-group exposures under BIPRU 10
As Published: 2010
BIPRU 10 Annex 2 Examples of treatment of intra-group exposures under BIPRU 10
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advising on a home finance transaction
As Published: 2006
advising on a home finance transaction
32 any of the regulated activities of advising on regulated mortgage contracts , advising on a home purchase plan , advising on a home reversion plan or advising on a regulated sale and rent back agre…
admission or admission to listing
As Published: 2005
admission or admission to listing
(in LR ) admission of securities to the official list . 23…
stressed VaR
As Published: 2011
stressed VaR
104 The stressed VaR measure in respect of positions coming within the scope of the VaR model permission , calculated in accordance with the VaR model , BIPRU 7.10 (Use of a Value at Risk Model) and a…
capital planning buffer
As Published: 2010
capital planning buffer
109 (in BIPRU 2.2 ) the amount and quality of capital resources that a firm should hold at a given time in accordance with the general stress and scenario testing rule , so that the firm is able to co…
advanced prudential calculation approach permission
As Published: 2006
advanced prudential calculation approach permission
37 one of the following: (a) an IRB permission ; or (b) an AMA permission ; or (c) a VaR model permission ; or (d) a CAD 1 model waiver ; or (e) a master netting agreement internal models approach per…
specialist securitised derivative
As Published: 2005
specialist securitised derivative
(in LR ) a securitised derivative which because of its nature is normally bought and traded by a limited number of investors who are particularly knowledgeable in investment matters. 34…