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disclosure obligations
As Published: 2007
disclosure obligations
39 (in REC ) the initial, ongoing and ad hoc disclosure requirements contained in the relevant articles and given effect: (1) in the United Kingdom by Part 6 of the Act and Part 6 rules (within the me…
FSB Compensation Standards
As Published: 2010
FSB Compensation Standards
47 (in accordance with the definition of "the Implementation Standards" in section 139A(12) of the Act ) the Implementation Standards for Principles for Sound Compensation Practices issued by the Fina…
pension wrapper
As Published: 2007
pension wrapper
52 (in the cancellation rules ( COBS 15 )) a SIPP , pension contract or personal pension product .
CTF bank account
As Published: 2004
CTF bank account
24 a bank account which fulfils the requirements of Regulation 11(5) of the CTF Regulations .
authorised unit trust manager
As Published: 2001
authorised unit trust manager
4 a manager of an AUT .
commodity simplified approach
As Published: 2006
commodity simplified approach
48 the method of calculating the commodity PRR in BIPRU 7.4.24 R (Simplified approach).
permitted activity
As Published: 2001
permitted activity
(1) (except in 33 SUP 13A 33 and SUP 14 ) a regulated activity which a firm has permission to carry on. (2) (in 33 SUP 13A 33 and SUP 14 ) an activity identified in a consent notice, a regulator's not…
mortgage administrator
As Published: 2003
mortgage administrator
11 12 a firm with permission (or which ought to have permission ) for administering a regulated mortgage contract .
linked liabilities
As Published: 2007
linked liabilities
29 property-linked liabilities or index-linked liabilities .
intermediate rate of return
As Published: 2007
intermediate rate of return
68 (in COBS ) the intermediate rate of return described in paragraph 2.3 of the projection rules ( COBS 13 Annex 2 ).
banking and investment services conglomerate
As Published: 2006
banking and investment services conglomerate
23 a financial conglomerate that is identified in paragraph 4.3 of GENPRU 3 Annex 1 (Types of financial conglomerate) as a banking and investment services conglomerate .
vendor consideration placing
As Published: 2005
vendor consideration placing
(in LR ) a marketing, by or on behalf of vendors, of securities that have been allotted as consideration for an acquisition. 6…
equity release transaction
As Published: 2006
equity release transaction
31 a lifetime mortgage or a home reversion plan .
excess spread
As Published: 2006
excess spread
34 (for the purposes of BIPRU 9 (Securitisation), in relation to a securitisation (within the meaning of paragraph (2) of the definition of securitisation) and in accordance with Part 1 of Annex IX of…
BIPRU 1 Annex 1D Application form to apply the advanced measurement approach
As Published: 2006
BIPRU 1 Annex 1D Application form to apply the advanced measurement approach
…
bearer certificate
As Published: 2001
bearer certificate
4 12 (in COLL ) a certificate or other documentary evidence of title, for which provision is made in the instrument constituting the scheme , which indicates that: (a) the holder of the document is en…
regulated sale and rent back mediation activity
As Published: 2009
regulated sale and rent back mediation activity
76 any of the following regulated activities : (a) arranging (bringing about) regulated sale and rent back agreements (article 25E(1)); (b) making arrangements with a view to regulated sale and rent b…
home finance providing activity
As Published: 2006
home finance providing activity
8 any of the regulated activities of: (a) entering into a regulated mortgage contract ; (aa) entering into a regulated sale and rent back agreement ; 19 (b) entering into a home purchase plan ; (c) en…
SRB intermediary
As Published: 2010
SRB intermediary
89 a firm with permission (or which ought to have permission ) to carry on a regulated sale and rent back mediation activity .