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regulated sale and rent back firm
As Published: 2009
regulated sale and rent back firm
76 a firm that carries on any regulated sale and rent back activity .
relevant overseas USRs
As Published: 2015
relevant overseas USRs
145 the following overseas uncertificated securities regulations: (a) the Jersey Companies (Uncertificated Securities) (Jersey) Order 1999; (b) the Guernsey Uncertified Securities (Guernsey) Regulatio…
insurance undertaking
As Published: 2001
insurance undertaking
an undertaking including a member that carries on insurance business , whether or not an insurer . 134…
GENPRU Sch 3 Fees and other requirement payments
As Published: 2006
GENPRU Sch 3 Fees and other requirement payments
…
index-linked security
As Published: 2010
index-linked security
90 (in COLL ) a debt security for which the cash flows are determined by reference to an index of consumer prices.
UK AIFM
As Published: 2013
UK AIFM
48 an AIFM established in the UK and with a Part 4A permission to carry on the regulated activity of managing an AIF .
MiFID implementing Directive
As Published: 2006
MiFID implementing Directive
39 Commission Directive No. 2006/73/EC implementing Directive 2004/39/EC of the European Parliament and of the Council as regards organisational requirements and operating conditions for investment fi…
SUP 16 Annex 32 Bidding in emissions auctions return
As Published: 2012
SUP 16 Annex 32 Bidding in emissions auctions return
…
electronic SCV rules
As Published: 2009
electronic SCV rules
(in COMP ) COMP 17.2.1 R(2) , COMP 17.2.3 R(3) and COMP 17.2.5 R , the application of which is determined by COMP 17.1 and COMP 17.2.7 R . 60…
counterparty risk capital component
As Published: 2006
counterparty risk capital component
48 the part of the credit risk capital requirement calculated in accordance with BIPRU 14.2.1 R (Calculation of the counterparty risk capital component).
Building Societies Ombudsman scheme
As Published: 2001
Building Societies Ombudsman scheme
1 the former scheme set up and recognised under the Building Societies Act 1986 to handle complaints about building societies .
exercise price
As Published: 2005
exercise price
(in LR ) (in relation to securitised derivatives ), the price stipulated by the issuer at which the holder can buy or sell the underlying instrument from or to the issuer . 26…
EIS share
As Published: 2001
EIS share
a share in respect of which the beneficial owner may, subject to his individual circumstances, be qualified, or has been qualified, for relief under Chapter III of Part VII of the Income and Corporati…
FCA registered tied agent
As Published: 2013
FCA registered tied agent
153 a tied agent who is an agent for the purposes of section 39A of the Act .
CRD credit institution
As Published: 2013
CRD credit institution
156 a credit institution that has its registered office (or, if it has no registered office, its head office) in an EEA State , excluding an institution to which the CRD does not apply under article 2…
income equalisation
As Published: 2001
income equalisation
(in relation to a scheme ) a capital sum which, in accordance with a power contained in the instrument constituting the fund 128 , is included in an allocation of income for a unit issued, sold or con…
front end loaded
As Published: 2001
front end loaded
2 (in relation to an investment ) one where deductions for charges and expenses are loaded disproportionately on the early years.
relevant debts under management
As Published: 2014
relevant debts under management
132 in relation to a firm , a debt due under a credit agreement or a consumer hire agreement in relation to which the firm is carrying on debt adjusting or an activity connected to that activity.
smoothed linked long term stakeholder product
As Published: 2004
smoothed linked long term stakeholder product
27 the stakeholder product specified by regulations 6, 7 and 8 (smoothed linked long term contracts) of the Stakeholder Regulations ;…
Lloyd's Arbitration Scheme
As Published: 2001
Lloyd's Arbitration Scheme
the Lloyd's Arbitration Scheme (Members and Underwriting Agents Arbitration Scheme) established under Lloyd's Arbitration Scheme (Members and Underwriting Agents Scheme) Byelaw (No 15 of 1992). 2…