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capital account
As Published: 2001
capital account
(in COLL ) an account relating to the capital property of an authorised fund . 3 20…
option hedging method
As Published: 2006
option hedging method
29 the method of calculating the option PRR in BIPRU 7.6.24R (The hedging method).
threshold condition
As Published: 2001
threshold condition
(in relation to a regulated activity ) any of the conditions set out in or under Schedule 6 to the Act (Threshold conditions), including the additional conditions in the Financial Services and Markets…
related designated investment
As Published: 2001
related designated investment
(in relation to a designated investment (the "first investment")) a designated investment whose value might reasonably be expected to be directly affected by: (a) any fluctuation in the value of the f…
upper tier three capital
As Published: 2006
upper tier three capital
19 an item of capital that is specified in stage O of the capital resources table (Upper tier three).
Distance Marketing Regulations
As Published: 2003
Distance Marketing Regulations
12 17 The Financial Services (Distance Marketing) Regulations 2004 (SI 2004/2095). 19…
statutory notice
As Published: 2001
statutory notice
a warning notice , decision notice or supervisory notice . 5…
distribution channels
As Published: 2007
distribution channels
39 a channel through which information is, or is likely to become, publicly available. Information which is "likely to become publicly available" means information to which a large number of persons h…
market abuse (dissemination)
As Published: 2005
market abuse (dissemination)
26 the behaviour described in section 118(7) of the Act , which is the dissemination of information by any means which gives, or is likely to give, a false or misleading impression as to a qualifying…
simplified ILAS BIPRU firm
As Published: 2009
simplified ILAS BIPRU firm
84 an ILAS BIPRU firm that, in accordance with the procedures in BIPRU 12 (Liquidity), is using the simplified ILAS .
BSOG 2 Annex 2B Form of application to the Authority for confirmation of an amalgamation
As Published: 2007
BSOG 2 Annex 2B Form of application to the Authority for confirmation of an amalgamation
…
price stabilising rules
As Published: 2001
price stabilising rules
5 the rules made under section 144of the Act , and appearing in MAR 2.1 to MAR 2.4 26 , together with any other provisions available for their interpretation.
relevant competent authority
As Published: 2007
relevant competent authority
54 (in relation to a financial instrument ) means the competent authority of the most relevant market in terms of liquidity for that financial instrument . [Note: article 2(7) of MiFID Regulation ]…
connected lending of a capital nature
As Published: 2006
connected lending of a capital nature
48 (in accordance with GENPRU 2.2.222 R (Deductions from tiers one and two: Connected lending of a capital nature)) all lending within GENPRU 2.2.227 R or GENPRU 2.2.229 R and guarantees within GENPRU…
redemption
As Published: 2001
redemption
(1) (except in 58 EG 14 58 (Collective investment schemes)) (in relation to units in an authorised fund ) the purchase of them from their holder by the authorised fund manager acting as a principal .
equivalent document
As Published: 2007
equivalent document
42 (in LR ) a document containing information equivalent to a prospectus for the purposes of PR 1.2.2R (2) or (3) or PR 1.2.3R (3) or (4) . 42…
property authorised investment fund
As Published: 2008
property authorised investment fund
an open-ended investment company to which Part 4A of the Authorised Investment Funds (Tax) Regulations 2006 (SI 2006/964) applies. 65…
circular
As Published: 2005
circular
(in LR ) any document issued to holders of listed securities including notices of meetings but excluding prospectuses , listing particulars , annual reports and accounts, interim reports, proxy cards…