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turnover
As Published: 2007
turnover
29 (in relation to a financial instrument ) means the sum of the results of multiplying the number of units of that instrument exchanged between buyers and sellers in a defined period of time, pursuan…
specialised lending exposure
As Published: 2006
specialised lending exposure
45 (in relation to the IRB approach ) an exposure falling into BIPRU 4.5.3 R (Definition of specialised lending).
class 2 transaction
As Published: 2005
class 2 transaction
(in LR ) a transaction classified as a class 2 transaction under LR 10 . 31…
short-term money market fund
As Published: 2011
short-term money market fund
102 an authorised fund or, in the case of an umbrella , a sub-fund (if it were a separate fund) which satisfies the conditions in COLL 5.9.3 R (Investment conditions: short-term money market funds) an…
TPF rules
As Published: 2007
TPF rules
35 the rules and guidance in COBS 20.2.1 G to COBS 20.2.39 R and COBS 20.2.51 R to COBS 20.2.57 G .
home purchase adviser
As Published: 2006
home purchase adviser
8 a firm with permission (or which ought to have permission ) for advising on a home purchase plan .
deficit reduction amount
As Published: 2005
deficit reduction amount
in respect of a defined benefit occupational pension scheme , the sum, determined by a firm in conjunction with the defined benefit occupational pension scheme's actuaries or trustees (or both), of th…
PD
As Published: 2005
PD
(1) (except in GENPRU and BIPRU ) Prospectus Directive. 43 (2) (in GENPRU 80 , BIPRU and BSOCS 80 ) probability of default . 43…
non-UK relevant authorised person
As Published: 2015
non-UK relevant authorised person
64 (a) an EEA relevant authorised person ; or (b) a third-country relevant authorised person .
ICOBS TP 2 Other Transitional Provisions
As Published: 2014
ICOBS TP 2 Other Transitional Provisions
…
Prospectus Rules
As Published: 2005
Prospectus Rules
(as defined in section 73A(4) of the Act ) rules expressed to relate to transferable securities . 30…
PRA governing function
As Published: 2013
PRA governing function
224 any of the PRA controlled functions CF1 to CF6 in the table of PRA controlled functions .
designated multilateral development bank
As Published: 2009
designated multilateral development bank
56 Any of the following: (a) African Development Bank; (b) Asian Development Bank; (c) Council of Europe Development Bank; (d) European Bank for Reconstruction and Development; (e) European Investment…
common platform record-keeping requirements
As Published: 2006
common platform record-keeping requirements
the record-keeping requirements applicable to common platform firms set out in 56 47 SYSC 9 .
Financial Ombudsman Service Limited
As Published: 2001
Financial Ombudsman Service Limited
the body corporate established by the FSA under paragraph 2(1) of Schedule 17 to the Act (The Scheme Operator) (as originally enacted) 151 to administer the Financial Ombudsman Service . 2…
emissions allowance
As Published: 2012
emissions allowance
73 an 'allowance', within the meaning of article 3(a) of Directive 2003/87/EC of the European Parliament and of the Council of 13 October 2003 establishing a scheme for greenhouse gas emission allowan…
simplified prospectus
As Published: 2005
simplified prospectus
32 a marketing document containing information about a simplified prospectus scheme 54 , which complies with COLL 4.6.2R 49 (Production and publication of simplified prospectus) and COLL 4.6.8R 49 (Ta…