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MLAR
As Published: 2004
MLAR
15 (in SUP ) a Mortgage Lending and Administration Return containing data specified in SUP 16 Annex 19A and relevant to the firm's type and regulated activities .
insolvency order
As Published: 2001
insolvency order
5 an administration order, compulsory winding up order, bankruptcy order, or sequestration order. 42…
credit unions day
As Published: 2005
credit unions day
37 (in relation to a Great Britain credit union ) 1 July 2002 or (in relation to a Northern Ireland credit union ) 31 March 2012. 127…
APER App 1.1 This appendix has been removed until further notice
As Published: 2011
APER App 1.1 This appendix has been removed until further notice
…
limited liability partnership
As Published: 2001
limited liability partnership
(a) a body corporate incorporated under the Limited Liability Partnerships Act 2000; (b) a body corporate incorporated under legislation having the equivalent effect to the Limited Liability Partnersh…
non-executive director function
As Published: 2001
non-executive director function
controlled function CF2 in the table of controlled functions , described more fully in SUP 10.6.8 R 2 .
feeder UCITS
As Published: 2011
feeder UCITS
52 (in accordance with article 58(1) of the UCITS Directive ): (a) a UCITS scheme or a sub-fund of a UCITS scheme which has been approved by the FSA ; or (b) an EEA UCITS scheme or a sub-fund of an EE…
Personal Insurance Arbitration Service
As Published: 2001
Personal Insurance Arbitration Service
the former scheme set up on a voluntary basis and run by the Chartered Institute of Arbitrators to handle complaints against those insurance companies which subscribed to it. 2…
Lloyd's Return
As Published: 2001
Lloyd's Return
the financial report that the Society is required to submit to the FSA under IPRU(INS) 9.48(1) 22 .
ongoing basis
As Published: 2010
ongoing basis
45 in BIPRU 9.15 , maintaining on an ongoing basis means that the retained positions, interest or exposures are not hedged or sold. [Note: BCD , Article 122a, paragraph 1]…
MTF transaction
As Published: 2007
MTF transaction
44 a transaction concluded by a firm under the rules governing an MTF with another member or participant of that MTF .
qualifying investment
As Published: 2001
qualifying investment
1 an investment which has been prescribed by the Treasury in the Prescribed Markets and Qualifying Investments Order…
tier two capital resources
As Published: 2004
tier two capital resources
14 the sum calculated at stage I (Total tier two capital) 26 of the calculation in the capital resources table 26 .
equivalent business of a third country investment firm
As Published: 2006
equivalent business of a third country investment firm
33 the business of a third country investment firm carried on from an establishment in the United Kingdom that would be MiFID business if that firm were a MiFID investment firm .
cash component
As Published: 2001
cash component
a qualifying investment prescribed in paragraph 8 of the ISA Regulations (Qualifying investments for a cash component). 3…
Disciplinary Tribunal
As Published: 2001
Disciplinary Tribunal
a Tribunal appointed under Schedule 2 to Lloyd's Disciplinary Committees Byelaw (No 31 of 1996). 3…
one-sided credit valuation adjustment
As Published: 2006
one-sided credit valuation adjustment
29 (in accordance with Part 1 of Annex III of the Banking Consolidation Directive (Definitions)) a credit valuation adjustment that reflects the market value of the credit risk of the counterparty to…