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Unfair Terms Regulations
As Published: 2003
Unfair Terms Regulations
the Unfair Terms in Consumer Contracts Regulations 1999 (SI 1999/2083), as amended by SI 2001/1186 and SI 2001/3649. 6…
IMD insurance undertaking
As Published: 2004
IMD insurance undertaking
22 (as defined in article 2(1) of the Insurance Mediation Directive 68 ) an undertaking which has received official authorisation in accordance with article 14 of the Solvency II Directive . 134…
debt management firm
As Published: 2013
debt management firm
84 (a) a firm which carries on the activities of debt counselling or debt adjusting , alone or together, with a view to an individual entering into a particular debt solution ; or (b) a firm which car…
unsecured lending
As Published: 2003
unsecured lending
8 lending where the mortgage lender does not take a mortgage or other form of security in respect of the credit provided to the customer .
resolution authority
As Published: 2015
resolution authority
138 (a) (in the UK ) the Bank of England; or (b) (in another EEA State ) an authority designated as a resolution authority by that EEA State under article 3 of RRD .[Note: article 2(1)(18) of RRD ]…
UCITS Regulations 2011
As Published: 2011
UCITS Regulations 2011
43 the Undertaking for Collective Investment in Transferable Securities Regulations 2011 (SI 2011/1613).
member of staff
As Published: 2015
member of staff
99 any individual: (a) working for a firm who is directly engaged in the activities specified in TC 4.1.6R; (b) working for a firm or its appointed representative who has contact with a consumer in th…
relevant commencement date
As Published: 2004
relevant commencement date
24 (as defined in article 1 of the Mortgage and General Insurance Complaints Transitional Order ): (a) in relation to a complaint which relates to an activity to which, immediately before 14 January 2…
special adjustment
As Published: 2009
special adjustment
85 (in IPRU(INV) 13) a position risk adjustment, counterparty risk adjustment and foreign exchange adjustment.
long-term admissible asset
As Published: 2004
long-term admissible asset
13 a long-term insurance asset which is an admissible asset .
margined transaction requirement
As Published: 2014
margined transaction requirement
94 the total amount of client money a firm is required to segregate in client bank accounts for margined transactions under the client money rules , in accordance with CASS 7.16.32 R .
own funds instruments
As Published: 2013
own funds instruments
61 has the meaning in article 4(1)(119) of the EU CRR .
authorised contractual scheme
As Published: 2013
authorised contractual scheme
95 a co-ownership scheme or a limited partnership scheme .
limited assurance engagement
As Published: 2011
limited assurance engagement
a 'limited assurance engagement' as described in the Glossary of terms in Financial Reporting Council: Audit and Assurance: Standards and Guidance 2014.
alternative projection
As Published: 2007
alternative projection
49 (in COBS ) a projection calculated on the basis described in paragraph 1.5R of the projection rules ( COBS 13 Annex 2 ), rather than in accordance with the remainder of those rules .
EEA insurance parent undertaking
As Published: 2004
EEA insurance parent undertaking
24 an insurance parent undertaking that has its head office in the United Kingdom or another EEA State .
market maker exemption
As Published: 2012
market maker exemption
79 an exemption from articles 5, 6, 7, 12, 13 and 14 of the short selling regulation for transactions performed due to market making activities pursuant to article 17 of the short selling regulation .
Principle
As Published: 2001
Principle
5 one of the Principles set out in PRIN 2.1.1 R (Principles for Businesses).