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chief executive
As Published: 2001
chief executive
(1) (in relation to an undertaking whose principal place of business is within the United Kingdom ) the person who, alone or jointly with one or more others, is responsible under the immediate authori…
authorised contractual scheme manager
As Published: 2013
authorised contractual scheme manager
100 a firm , including, if relevant, an EEA UCITS management company or incoming EEA AIFM 101 , which is the authorised fund manager of the ACS in accordance with the contractual scheme deed .
master netting agreement internal models approach permission
As Published: 2006
master netting agreement internal models approach permission
88 requirement or a waiver that requires a BIPRU firm to use the master netting agreement internal models approach on a solo basis or, if the context requires, a consolidated basis.
total group tier two capital
As Published: 2004
total group tier two capital
14 the sum calculated at stage B of the calculation in INSPRU 6.1.43R 26 .
cash
As Published: 2013
cash
149 in accordance with section 189(1) of the CCA , includes money in any form.
advising on investments (except pension transfers and pension opt-outs)
As Published: 2004
advising on investments (except pension transfers and pension opt-outs)
advising on investments (except P2P agreements) other than 131 in respect of pension transfers and pension opt-outs .
non-equity transferable securities
As Published: 2005
non-equity transferable securities
(in PR ) (as defined in section 102A of the Act ) all transferable securities that are not equity securities. 15…
COBS 19 Annex 1 Retirement risk warnings - steps to take
As Published: 2015
COBS 19 Annex 1 Retirement risk warnings - steps to take
…
managing a UCITS
As Published: 2013
managing a UCITS
84 the regulated activity , specified in article 51ZA of the Regulated Activities Order of carrying on collective portfolio management within the meaning of the UCITS Directive , in relation to a UCIT…
retirement fund
As Published: 2001
retirement fund
the amount which will be available, at the date on which the investor retires, for the provision of benefits. 5…
general liability
As Published: 2001
general liability
(in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph 13 of Part I of Schedule 1 to the Regulated Activities Order (Contracts of general insura…
VJ participant
As Published: 2001
VJ participant
a person subject to the Voluntary Jurisdiction by contract. 1…
scheme property
As Published: 2001
scheme property
(a) (in relation to an ICVC ) the property subject to the collective investment scheme constituted by it; (b) (in relation to an AUT or ACS 114 ) the capital property and the income property . 5…
mortgage lender
As Published: 2003
mortgage lender
11 12 a firm with permission (or which ought to have permission ) for entering into a regulated mortgage contract .
MCOB 2 Annex 1G Form of joint instruction letter
As Published: 2010
MCOB 2 Annex 1G Form of joint instruction letter
…
certified high net worth investor
As Published: 2014
certified high net worth investor
282 a person who meets the requirements set out in article 21 of the Promotion of Collective Investment Schemes Order, in article 48 of the Financial Promotions Order or in COBS 4.12.6 R .
loss given default
As Published: 2006
loss given default
22 (in accordance with Article 4(27) of the Banking Consolidation Directive (Definitions) and in relation to the IRB approach ) the ratio of the loss on an exposure due to the default of a counterpart…