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EEA commodities market
As Published: 2003
EEA commodities market
a market that facilitates trading in derivatives relating to commodities (other than a market operated by an RIE ) and which is operated by an entity that has its head office situated in the EEA and t…
Financial Services Compensation Scheme Limited
As Published: 2001
Financial Services Compensation Scheme Limited
the body corporate established by the FSA under section 212 of the Act (The scheme manager) to administer the compensation scheme . 2…
Ombudsman Transitional Order
As Published: 2004
Ombudsman Transitional Order
the Financial Services and Markets Act 2000 (Transitional Provisions) (Ombudsman Scheme and Complaints Scheme) Order 2001 (SI 2001/2326).
limited assurance engagement
As Published: 2011
limited assurance engagement
38 a 'limited assurance engagement' as described in the Glossary of terms in the Auditing Practices Board Standards and Guidance for Auditors issued in 2010.
net earned premiums
As Published: 2004
net earned premiums
13 gross earned premiums , less reinsurance premiums earned.
leading insurer
As Published: 2001
leading insurer
(in relation to a community co-insurance operation ) has the same meaning as in the Community Co-Insurance Directive . 2…
normally resident
As Published: 2003
normally resident
6 (in MCOB ) normally resident; for the purposes of this definition: (a) an individual (whether or not acting as trustee) is to be treated as normally resident in the country which he indicates is his…
permitted stock lending
As Published: 2007
permitted stock lending
59 in relation to permitted links , a stock lending transaction (including a repo transaction) that satisfies INSPRU 3.2.36A R to INSPRU 3.2.42 G (inclusive).
CESR's guidelines on a common definition of European money market funds
As Published: 2011
CESR's guidelines on a common definition of European money market funds
117 the Committee of European Securities Regulators' guidelines on a common definition of European money market funds: 19 May 2010 (CESR/10-049). These are available at www.esma.europa.eu…
approve
As Published: 2001
approve
4 (in relation to a financial promotion ) approve the content of the financial promotion for the purposes of section 21 of the Act (Restrictions on financial promotion).
innovative tier one capital resources
As Published: 2004
innovative tier one capital resources
32 the amount of capital resources at stage C of the capital resources table (Innovation tier one capital) 52 .
SRB adviser
As Published: 2009
SRB adviser
78 a firm which carries on the regulated activity of advising on a regulated sale and rent back agreement .
standardised deterministic projection
As Published: 2007
standardised deterministic projection
61 a projection which is either a generic projection or a personal projection produced in accordance with the assumptions contained in COBS 13 Annex 2 .
Investment Ombudsman
As Published: 2001
Investment Ombudsman
the former Ombudsman under the IMRO scheme . 1…
registered friendly society
As Published: 2001
registered friendly society
a friendly society registered under section 7(1)(a) of the Friendly Societies Act 1974 or any enactment which it replaced, including any registered branches. 5…
with-profits insurance business
As Published: 2004
with-profits insurance business
7 the business of effecting or carrying out with-profits insurance contracts .
group capital resources requirement
As Published: 2004
group capital resources requirement
12 in relation to an undertaking in INSPRU 6.1.17R 20 , that undertaking's group capital resources requirement as calculated in accordance with INSPRU 6.1.33R 20 .
tender offer
As Published: 2005
tender offer
(in LR ) an offer by a company to purchase all or some of a class of its listed equity securities at a maximum or fixed price (that may be established by means of a formula) that is: (a) communicated…