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excess spread
As Published: 2006
excess spread
34 (for the purposes of BIPRU 9 (Securitisation), in relation to a securitisation (within the meaning of paragraph (2) of the definition of securitisation) and in accordance with Part 1 of Annex IX of…
SUP 16 Annex 35A Close Links Monthly Report
As Published: 2013
SUP 16 Annex 35A Close Links Monthly Report
…
BIPRU 1 Annex 1D Application form to apply the advanced measurement approach
As Published: 2006
BIPRU 1 Annex 1D Application form to apply the advanced measurement approach
…
CONRED 2 Annex 8 Initial letter requesting information/enclosing questionnaire
As Published: 2013
CONRED 2 Annex 8 Initial letter requesting information/enclosing questionnaire
…
FCA candidate
As Published: 2013
FCA candidate
149 a person in respect of whom an application is made for approval under section 59 of the Act (Approval for particular arrangements) of the performance of an FCA controlled function .
ONA
As Published: 2014
ONA
66 the appropriate regulator's online notifications and applications system, by whatever name known.
article 3(1)(b) credit agreement
As Published: 2015
article 3(1)(b) credit agreement
118 a credit agreement : (a) under which the person to whom the credit is provided is a consumer , (b) the purpose of which is to acquire or retain property rights in land or in an existing or project…
regulated sale and rent back mediation activity
As Published: 2009
regulated sale and rent back mediation activity
76 any of the following regulated activities : (a) arranging (bringing about) regulated sale and rent back agreements (article 25E(1)); (b) making arrangements with a view to regulated sale and rent b…
CCR internal model method permission
As Published: 2006
CCR internal model method permission
156 an Article 129 implementing measure , Article 129 permission , a requirement or a waiver that requires a BIPRU firm or a CAD investment firm to use the CCR internal model method…
home finance providing activity
As Published: 2006
home finance providing activity
8 any of the regulated activities of: (a) entering into a regulated mortgage contract ; (aa) entering into a regulated sale and rent back agreement ; 19 (b) entering into a home purchase plan ; (c) en…
SRB intermediary
As Published: 2010
SRB intermediary
89 a firm with permission (or which ought to have permission ) to carry on a regulated sale and rent back mediation activity .
insurer
As Published: 2001
insurer
5 a firm with permission to effect 48 or carry out contracts of insurance (other than an ISPV 134 ).
participant
As Published: 2001
participant
(a) (except in FEES 9 ) (in accordance with section 235(2) of the Act (Collective investment schemes)) a person who participates in a collective investment scheme . 133 (b) (in FEES 9 ) in relation to…
over the counter
As Published: 2001
over the counter
(in relation to a transaction in an investment ) not on-exchange . 4…
EMIR
As Published: 2012
EMIR
79 Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories, sometimes referred to as the "European Markets Infrastructure Regulation".
flat-fee charge
As Published: 2015
flat-fee charge
88 a charge used by an operator of a qualifying scheme which is a specified charge for a period of time and which is not calculated by reference to member's contributions or accrued rights.
MiFID Regulation
As Published: 2006
MiFID Regulation
39 Commission Regulation (EC) 1287/2006 implementing Directive 2004/39/EC of the European Parliament and of the Council as regards organisational requirements and operating conditions for investment f…
exercise time
As Published: 2005
exercise time
(in LR ) (in relation to securitised derivatives ), the time stipulated by the issuer by which the holder must exercise their rights. 26…
alternative investment fund
As Published: 2013
alternative investment fund
96 (in accordance with article 4(1)(a) of AIFMD ) a collective investment undertaking, including investment compartments thereof, which: (a) raises capital from a number of investors, with a view to i…