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over the counter
As Published: 2001
over the counter
(in relation to a transaction in an investment ) not on-exchange . 4…
EMIR
As Published: 2012
EMIR
79 Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories, sometimes referred to as the "European Markets Infrastructure Regulation".
MiFID Regulation
As Published: 2006
MiFID Regulation
39 Commission Regulation (EC) 1287/2006 implementing Directive 2004/39/EC of the European Parliament and of the Council as regards organisational requirements and operating conditions for investment f…
FSA's SCV requirements
As Published: 2009
FSA's SCV requirements
(in COMP ) the FSA's requirements with respect to single customer view . 43…
governing function
As Published: 2001
governing function
any of the controlled functions 1 to 6 26 in the table of controlled functions . 4…
exercise time
As Published: 2005
exercise time
(in LR ) (in relation to securitised derivatives ), the time stipulated by the issuer by which the holder must exercise their rights. 26…
data item
As Published: 2006
data item
One or more related data elements that are grouped together into a prescribed format and required to be submitted by a firm or other regulated entity under SUP 16 or provisions referred to in SUP 16 .
EIS subscription
As Published: 2001
EIS subscription
any money which is subscribed: (a) in the case of an EIS managed portfolio , by the client of the EIS manager whose portfolio it is; (b) in the case of an EIS fund , by the participants in the EIS . 4…
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…
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 ).