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IRB exposure class
As Published: 2006
IRB exposure class
52 (in relation to the IRB approach ) one of the classes of exposure set out in BIPRU 4.3.2 R (exposure classes).
transaction volumes
As Published: 2015
transaction volumes
69 for each regulated payment system listed in column 1 of Table A of FEES 9 Annex 1R , the number of transfers of funds of the type specified in column 5 of Table A undertaken by a direct payment ser…
mortgage adviser
As Published: 2003
mortgage adviser
11 12 a firm with permission (or which ought to have permission ) for advising on regulated mortgage contracts .
linked policyholders
As Published: 2007
linked policyholders
29 policyholders under a linked long-term contract.
suitability report
As Published: 2007
suitability report
49 a report which a firm must provide to its client under COBS 9.4 54 (Suitability reports) which, among other things, explains why the firm has concluded that a recommended transaction is suitable fo…
Financial Groups Directive
As Published: 2004
Financial Groups Directive
9 Directive 2002/87/EC of the European Parliament and of the Council of 16 December 2002 on the supplementary supervision of credit institutions, insurance undertakings and investment firms in a finan…
PROF Sch 3 Fees and other required payments
As Published: 2004
PROF Sch 3 Fees and other required payments
…
lower rate of return
As Published: 2007
lower rate of return
30 (in COBS ) the lower rate of return described in paragraph 2.3 of the projection rules ( COBS 13 Annex 2 ).
banking and investment services sector
As Published: 2006
banking and investment services sector
23 (in relation to a financial sector in a consolidation group or a financial conglomerate and in accordance with GENPRU 3.1 (Cross sector groups)), the investment services sector and the banking sect…
home finance activity
As Published: 2006
home finance activity
8 any home finance mediation activity , home finance providing activity or administering a home finance transaction .
excess trading book position
As Published: 2006
excess trading book position
34 has the meaning in GENPRU 2.2.264 R (Deductions from total capital: Excess trading book position).
trustee
As Published: 2001
trustee
(in accordance with section 237(2) of the Act (Other definitions)) (in relation to a unit trust scheme ) the person holding the property in question on trust for the participants . 3…
hirer
As Published: 2013
hirer
32 a person to whom goods are bailed or, in Scotland, hired under a consumer hire agreement , or a person to whom the rights and duties of a hirer under a consumer hire agreement have passed by assign…
COMP 5.4 Protected contracts of insurance
As Published: 2001
COMP 5.4 Protected contracts of insurance
…