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parental responsibility
As Published: 2004
parental responsibility
22 (as defined in section 3(9) of the Child Trust Fund Act 2004): (a) parental responsibility within the meaning of the Children Act 1989 or the Children (Northern Ireland) Order 1995 (SI 1995/755 (N.
Balancing and Settlement Code
As Published: 2001
Balancing and Settlement Code
2 the document designated by the Secretary of State and adopted by the National Grid Company plc as the Balancing and Settlement Code as modified from time to time in accordance with the terms of the…
potential tier one instrument
As Published: 2004
potential tier one instrument
25 an item of capital that falls into GENPRU 2.2.62R (Tier one capital: General) 43 .
regulatory function
As Published: 2001
regulatory function
(as defined in section 291 of the Act (Liability in relation to recognised body 's regulatory functions)) any function of a recognised body so far as relating to, or to matters arising out of, the obl…
larger denomination share
As Published: 2001
larger denomination share
any share that is not a smaller denomination share . 2…
former member
As Published: 2001
former member
a person who has ceased to be a member , whether by resignation or otherwise, in accordance with Lloyd's Act 1982 and any byelaw made under it. 2…
projection period
As Published: 2007
projection period
61 (in COBS ) the period covered by a standardised deterministic projection , which begins on the date the investment is reasonably expected to be made and ends on the projection date described in par…
volatility risk
As Published: 2004
volatility risk
5 the potential loss due to fluctuations in implied option volatilities.
CASS resolution pack
As Published: 2012
CASS resolution pack
those documents and records which are specified in CASS 10.2 and CASS 10.3 . 128…
execution-only sale
As Published: 2012
execution-only sale
74 (a) a home finance transaction entered into by a firm with, or arranged by a firm for, a customer ; or (b) a variation of an existing home finance transaction entered into by a firm with, or arrang…
PRR charge
As Published: 2006
PRR charge
43 one of the following: (a) the interest rate PRR ; (b) the equity PRR ; (c) the commodity PRR ; (d) the foreign currency PRR ; (e) the option PRR ; (f) the collective investment undertaking PRR ; an…
requisite details
As Published: 2001
requisite details
the details required in regulation 1 of 64 the EEA Passport Rights Regulations and set out in SUP 13 Annex 1 (Requisite details: branches).
rule on use of dealing commission
As Published: 2007
rule on use of dealing commission
57 COBS 11.6.3 R .
legal or equitable mortgage
As Published: 2013
legal or equitable mortgage
51 in accordance with article 60L of the Regulated Activities Order , includes a legal or equitable 56 charge and, in Scotland, a heritable security.
regulated activity group
As Published: 2006
regulated activity group
49 A set of one or more regulated activities (with associated investment types and customer types) referred to in SUP 16 to determine a firm's or other regulated person's data item submission requirem…
ISA manager
As Published: 2001
ISA manager
a person who is approved by HM Revenue and Customs 35 for the purposes of the ISA Regulations as an account manager. 5…