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loaned funds
As Published: 2014
loaned funds
57 (in IPRU(INV) ) any funds that have been provided to borrowers under a P2P agreement through an operator of an electronic system in relation to lending .
relevant financial system
As Published: 2010
relevant financial system
87 (in accordance with section 169A(5) of the Act (Support of overseas regulator with respect to financial stability)) a financial system including: (a) financial markets and exchanges; (b) activities…
interim permission
As Published: 2013
interim permission
122 in accordance with article 56 of the Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No.2) Order 2013, subject to article 59 of that Order, to be treated as: (a) in rel…
UK ISPV
As Published: 2006
UK ISPV
18 an ISPV with a Part 4A permission 97 to effect or carry out contracts of insurance .
disclosure obligations
As Published: 2007
disclosure obligations
39 (in REC ) the initial, ongoing and ad hoc disclosure requirements contained in the relevant articles and given effect: (1) in the United Kingdom by Part 6 of the Act and Part 6 rules (within the me…
debt management client money chapter
As Published: 2014
debt management client money chapter
87 CASS 11 .
FINMAR Sch 3 Fees and other required payments
As Published: 2010
FINMAR Sch 3 Fees and other required payments
…
pension wrapper
As Published: 2007
pension wrapper
52 (in the cancellation rules ( COBS 15 )) a SIPP , pension contract or personal pension product .
tied MCD article 3(1)(b) credit intermediary
As Published: 2015
tied MCD article 3(1)(b) credit intermediary
67 an MCD article 3(1)(b) credit intermediary who acts on behalf of and under the full and unconditional responsibility of: (a) only one MCD article 3(1)(b) creditor ; (b) only one group ; or (c) a nu…
CTF bank account
As Published: 2004
CTF bank account
24 a bank account which fulfils the requirements of Regulation 11(5) of the CTF Regulations .
authorised unit trust manager
As Published: 2001
authorised unit trust manager
4 a manager of an AUT .
commodity simplified approach
As Published: 2006
commodity simplified approach
48 the method of calculating the commodity PRR in BIPRU 7.4.24 R (Simplified approach).
permitted activity
As Published: 2001
permitted activity
(1) (except in 33 SUP 13A 33 and SUP 14 ) a regulated activity which a firm has permission to carry on. (2) (in 33 SUP 13A 33 and SUP 14 ) an activity identified in a consent notice, a regulator's not…
mortgage administrator
As Published: 2003
mortgage administrator
11 12 a firm with permission (or which ought to have permission ) for administering a regulated mortgage contract .
linked liabilities
As Published: 2007
linked liabilities
29 property-linked liabilities or index-linked liabilities .
intermediate rate of return
As Published: 2007
intermediate rate of return
68 (in COBS ) the intermediate rate of return described in paragraph 2.3 of the projection rules ( COBS 13 Annex 2 ).
banking and investment services conglomerate
As Published: 2006
banking and investment services conglomerate
23 a financial conglomerate that is identified in paragraph 4.3 of GENPRU 3 Annex 1 (Types of financial conglomerate) as a banking and investment services conglomerate .
vendor consideration placing
As Published: 2005
vendor consideration placing
(in LR ) a marketing, by or on behalf of vendors, of securities that have been allotted as consideration for an acquisition. 6…
equity release transaction
As Published: 2006
equity release transaction
31 a lifetime mortgage or a home reversion plan .