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linked fund
As Published: 2007
linked fund
29 a real or notional account to which an insurer appropriates linked assets for the purposes of their being permitted links , and which may be subdivided into units, the value of each of which is det…
higher rate of return
As Published: 2007
higher rate of return
15 (in COBS ) the higher rate of return described in paragraph 2.3 of the projection rules ( COBS 13 Annex 2 ).
backtesting exception
As Published: 2006
backtesting exception
23 (in BIPRU 7.10 (Use of a value at risk model)) an exception (excluding a specific risk backtesting exception ) arising out of backtesting a VaR model as more fully defined in BIPRU 7.10.103 R .
unrecognised scheme
As Published: 2005
unrecognised scheme
(in LR ) a collective investment scheme which is neither a recognised scheme nor a scheme that is constituted as an authorised unit trust scheme . 12…
equity release provider
As Published: 2006
equity release provider
31 a firm with permission (or which ought to have permission ) for: (a) entering into a regulated mortgage contract (when carried on in relation to a lifetime mortgage ); or (b) entering into a home r…
permitted immovable
As Published: 2001
permitted immovable
any interest in land or buildings 48 which falls within COLL 5.6.18 R (2) and COLL 5.6.18 R (6) (Investment in property) and which, being a leasehold interest or its equivalent, has an unexpired term…
SIFA
As Published: 2003
SIFA
the Handbook Guide: "Using the FSA Handbook: an Overview for small IFA firms" 17…
position risk requirement
As Published: 2006
position risk requirement
43 a capital requirement applied to a position treated under BIPRU 7 (Market risk) as part of the calculation of the market risk capital requirement or, if the relevant provision of the Handbook disti…
regulated sale and rent back firm
As Published: 2009
regulated sale and rent back firm
76 a firm that carries on any regulated sale and rent back activity .
material outsourcing
As Published: 2001
material outsourcing
3 outsourcing services of such importance that weakness, or failure, of the services would cast serious doubt upon the firm 's continuing satisfaction of the threshold conditions or compliance with th…
GENPRU Sch 3 Fees and other requirement payments
As Published: 2006
GENPRU Sch 3 Fees and other requirement payments
…
index-linked security
As Published: 2010
index-linked security
90 (in COLL ) a debt security for which the cash flows are determined by reference to an index of consumer prices.
MiFID implementing Directive
As Published: 2006
MiFID implementing Directive
39 Commission Directive No. 2006/73/EC implementing Directive 2004/39/EC of the European Parliament and of the Council as regards organisational requirements and operating conditions for investment fi…
SUP 16 Annex 32 Bidding in emissions auctions return
As Published: 2012
SUP 16 Annex 32 Bidding in emissions auctions return
…
electronic SCV rules
As Published: 2009
electronic SCV rules
(in COMP ) COMP 17.2.1 R(2) , COMP 17.2.3 R(3) and COMP 17.2.5 R , the application of which is determined by COMP 17.1 and COMP 17.2.7 R . 60…
counterparty risk capital component
As Published: 2006
counterparty risk capital component
48 the part of the credit risk capital requirement calculated in accordance with BIPRU 14.2.1 R (Calculation of the counterparty risk capital component).
Building Societies Ombudsman scheme
As Published: 2001
Building Societies Ombudsman scheme
1 the former scheme set up and recognised under the Building Societies Act 1986 to handle complaints about building societies .
matched principal exemption conditions
As Published: 2006
matched principal exemption conditions
40 the conditions set out in BIPRU 1.1.23 R (2) (Meaning of dealing on own account).