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designated investment firm
As Published: 2013
designated investment firm
108 an authorised person 108 that has been designated by the PRA under article 3 of the PRA-regulated Activities Order .
debt counsellor
As Published: 2014
debt counsellor
87 a person who has, or ought to have, a Part 4A permission to carry on the regulated activity of debt counselling and who gives advice to borrowers or hirers about the liquidation of debts under cred…
RRD group financial support agreement
As Published: 2015
RRD group financial support agreement
138 an agreement to give financial support to an RRD institution which, at any time after the agreement has been concluded, has infringed an RRD early intervention condition or is likely to infringe o…
Supervisory Liquidity Review Process
As Published: 2009
Supervisory Liquidity Review Process
83 the appropriate regulator's 224 assessment of the adequacy of certain firms ' liquidity resources as described in BIPRU 12.2 and BIPRU 12.5.
mathematical reserves
As Published: 2001
mathematical reserves
the provision made by an insurer to cover liabilities (excluding liabilities which have fallen due and liabilities arising from deposit back arrangements ) arising under or in connection with long-ter…
authorised professional firm
As Published: 2001
authorised professional firm
4 a professional firm which is an authorised person .
mesothelioma regulations
As Published: 2006
mesothelioma regulations
41 The Compensation Act 2006 (Contribution for Mesothelioma Claims) Regulations 2006 (SI 2006/3259).
convertible
As Published: 2006
convertible
(for the purposes of BIPRU and IFPRU ) a security which gives the investor the right to convert the security into a share at an agreed price or on an agreed basis.
land vehicles
As Published: 2001
land vehicles
(in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph 3 of Part I of Schedule 1 to the Regulated Activities Order (Contracts of general insuran…
PD Regulation
As Published: 2005
PD Regulation
the Prospectus Directive Regulation (No 2004/809/EC). 30…
CONRED 2 Annex 2 Letter to consumers confirming existence of review and inviting request to opt-in
As Published: 2013
CONRED 2 Annex 2 Letter to consumers confirming existence of review and inviting request to opt-in
…
overall financial sector
As Published: 2004
overall financial sector
14 a sector composed of one or more the following types of entities: (a) members of each of the financial sectors ; and (b) (except where 29 GENPRU 3.1 29 (Cross sector groups) or 29 GENPRU 3 Ann 1R 2…
physical safe custody asset
As Published: 2014
physical safe custody asset
119 a safe custody asset (or tangible evidence of one) that is in a firm's physical custody and which may also be registered with the relevant issuer or agent of the issuer.
risk of excessive leverage
As Published: 2013
risk of excessive leverage
128 has the meaning in article 4(1)(94) of the EU CRR .
professional ACS investor
As Published: 2013
professional ACS investor
109 in relation to an ACS , a person who falls within one of the categories (1) to (4) of Section I of Annex II (professional clients for the purpose of that directive) to MiFID .
local authority
As Published: 2013
local authority
50 (a) in England and Wales, a local authority within the meaning of the Local Government Act 1972, the Greater London Authority, the Common Council of the City of London or the Council of the Isles o…
employer
As Published: 2015
employer
105 (for the purposes of SUP 15.11 (Notification of conduct rule breaches and disciplinary action) 115 and COCON , and as defined in more detail in section 64A of the Act (Rules of conduct)), the pers…
IPRU-INS Interim Prudential sourcebook for Insurers
As Published: 2004
IPRU-INS Interim Prudential sourcebook for Insurers
…
general insurance capital requirement
As Published: 2004
general insurance capital requirement
12 the highest of the premiums amount , claims amount and brought forward amount as set out in INSPRU 1.1 20 .
unattached shares
As Published: 2011
unattached shares
45 (in CREDS ) means the total shares in the credit union other than any attached shares or deferred shares .