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own account trading firm
As Published: 2004
own account trading firm
12 (in relation to firm type in SUP 16.10 (Confirmation of standing data )) a firm that only deals or arranges deals in securities or contractually based investments for its own benefit, or for the be…
RCB 3 Annex 3 Series issuance notification form
As Published: 2008
RCB 3 Annex 3 Series issuance notification form
…
CCR mark to market method
As Published: 2006
CCR mark to market method
48 the method of calculating the amount of an exposure set out in BIPRU 13.4 (CCR mark to market method).
reverse takeover
As Published: 2005
reverse takeover
(in LR ) a transaction classified as a reverse takeover under LR 5.6 . 113 31…
reattribution expert
As Published: 2005
reattribution expert
35 the expert appointed by a firm to satisfy its obligations under COBS 20.2.47 R (Reattribution expert). 54…
foreign law contract
As Published: 2011
foreign law contract
58 any contract other than a contract: (a) governed by the laws of any part of the United Kingdom ; and (b) whose parties agree to the exclusive jurisdiction of the courts of any part of the United Ki…
state monopoly
As Published: 2005
state monopoly
30 a company or other legal person which is a national of an EEA state and which: (a) in carrying on its business benefits from a monopoly right granted by an EEA state ; and (b) is set up by or pursu…
stakeholder product
As Published: 2004
stakeholder product
27 (as defined in article 52B(3) of the Regulated Activities Order ): (a) a stakeholder CTF ; or (b) a stakeholder pension scheme ; or (c) an investment of a kind specified in the Stakeholder Regulati…
Lloyd's Members' Ombudsman
As Published: 2001
Lloyd's Members' Ombudsman
the office of Ombudsman established under Lloyd's Members' Ombudsman Scheme Byelaw (No 13 of 1987). 2…
securities note
As Published: 2005
securities note
(in Part 6 rules ) a securities note referred to in PR 2.2.2 R . 34…
insurer
As Published: 2001
insurer
5 a firm with permission to effect 48 or carry out contracts of insurance (other than a UK ISPV 48 ).
capital property
As Published: 2001
capital property
(in COLL ) the scheme property , other than income property and any amount for the time being standing to the credit of the distribution account . 3 20…
retail securitised derivative
As Published: 2002
retail securitised derivative
a securitised derivative which is not a specialist securitised derivative; in this definition, a "specialist securitised derivative" is a securitised derivative which, in accordance with the listing r…
associated call option
As Published: 2001
associated call option
4 a right to acquire a particular amount of the relevant security or of any associated security at a future date at a particular price .
dormant account fund operator
As Published: 2009
dormant account fund operator
52 a firm with permission for operating a dormant account fund .
MAR Sch 3 Fees and other required payments
As Published: 2004
MAR Sch 3 Fees and other required payments
…
small payment institution
As Published: 2009
small payment institution
74 225 (in accordance with regulation 2(1) of the Payment Services Regulations ) a person included by the FSA in the FSA Register pursuant to regulation 4(1)(b) of the Payment Services Regulations .
long-term insurance asset
As Published: 2004
long-term insurance asset
13 has the meaning set out in 22 INSPRU 1.5.21R 22 .