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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 .
community co-insurance operation
As Published: 2001
community co-insurance operation
an operation to which the Community Co-Insurance Directive applies, as modified by article 26 of the Second Non-Life Directive . 3…
portfolio management
As Published: 2007
portfolio management
46 managing portfolios in accordance with mandates given by clients on a discretionary client -by- client basis where such portfolios include one or more financial instruments . [Note: article 4(1)(9)…
participating security
As Published: 2001
participating security
a participating security as defined in regulation 3 of the Uncertificated Securities Regulations 1995 (SI 1995/3272), which enable title to participating securities to be evidenced otherwise than by a…
CASS Sch 3 Fees and other required payments
As Published: 2003
CASS Sch 3 Fees and other required payments
…
director function
As Published: 2001
director function
controlled function CF1 in the table of controlled function , described more fully in 3 SUP 10.6.4 R .
Solvency 1 Directive
As Published: 2004
Solvency 1 Directive
28 the Directive of the European Parliament and of the Council of 5 March 2002 amending Council Directive 79/267/EEC as regards the solvency margin requirements for life assurance undertakings (No. 20…
EEA MCR
As Published: 2004
EEA MCR
24 the MCR in relation to business carried on in all EEA States , taken together, calculated by a UK-deposit insurer in accordance with INSPRU 1.5.46R 34 .
individual capital guidance
As Published: 2006
individual capital guidance
52 guidance given to a firm about the amount and quality of capital resources that the FSA thinks the firm should hold at all times 92 under the overall financial adequacy rule as it applies on a solo…
overall financial adequacy rule
As Published: 2006
overall financial adequacy rule
29 GENPRU 1.2.26R (Requirement for certain firms to have adequate financial resources).
market abuse (insider dealing)
As Published: 2005
market abuse (insider dealing)
26 the behaviour described in section 118(2) of the Act , which is an insider dealing , or attempting to deal , in a qualifying investment or related investment on the basis of inside information rela…
total group tier one capital
As Published: 2004
total group tier one capital
14 the sum calculated at stage A of the calculation in INSPRU 6.1.43R 26 .
customer order
As Published: 2001
customer order
(a) an order to a firm from a customer to execute a transaction as agent; (b) any other order to a firm from a customer to execute a transaction in circumstances giving rise to duties similar to those…