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multilateral trading facility
As Published: 2007
multilateral trading facility
44 a multilateral system, operated by an investment firm or a market operator , which brings together multiple third-party buying and selling interests in financial instruments - in the system and in…
modified CIU look through method
As Published: 2006
modified CIU look through method
40 the method for calculating PRR for a CIU set out in BIPRU 7.7.4 R , BIPRU 7.7.7 R to BIPRU 7.7.8 R and BIPRU 7.7.11 R to BIPRU 7.7.12 R…
whole-firm liquidity modification
As Published: 2009
whole-firm liquidity modification
17 a modification to the overall liquidity adequacy rule of the kind described in BIPRU 12.8.22G.
synthetic risk and reward indicator
As Published: 2011
synthetic risk and reward indicator
103 (in COLL and in accordance with article 2(2) of the UCITS implementing Directive No 2 ) a synthetic indicator within the meaning of article 8 of the KII Regulation .
MCD mortgage administrator
As Published: 2015
MCD mortgage administrator
99 (in MCOB 7A MCOB 7A and MCOB 14) a mortgage administrator who administers MCD regulated mortgage contracts .
third-country banking and investment group
As Published: 2004
third-country banking and investment group
13 a banking and investment group that meets the following conditions: (a) it is headed by: (i) a credit institution ; or (ii) an asset management company ; or (iii) an investment firm ; or (iv) a fin…
collective portfolio management firm
As Published: 2013
collective portfolio management firm
143 a firm which: (a) (i) is a full-scope UK AIFM ; and (ii) does not have a Part 4A permission to carry on any regulated activities other than those in connection with, or for the purpose of, managin…
PRA-authorised person
As Published: 2013
PRA-authorised person
225 as defined in section 2B(5) of the Act , an authorised person who has permission: (a) given under Part 4A of the Act ; or (b) resulting from any other provision of the Act ; to carry on regulated…
minimum levy
As Published: 2001
minimum levy
(in FEES 31 ) the fixed minimum general levy payable by a firm . 3…
EuVECA regulation
As Published: 2013
EuVECA regulation
85 Regulation (EU) No 345/2013 of the European Parliament and the Council of 17 April 2013 on European venture capital funds.
portfolio trade
As Published: 2007
portfolio trade
46 a transaction in more than one security where those securities are grouped and traded as a single lot against a specific reference price. [Note: article 2(6) of the MiFID Regulation ]…
protection buyer
As Published: 2006
protection buyer
43 (in BIPRU ) 115 (in relation to a credit derivative and in accordance with paragraph 8 of Annex I of the Capital Adequacy Directive (Calculating capital requirements for position risk)) the person…
resecuritisation position
As Published: 2011
resecuritisation position
102 in BIPRU 7 and 9 , an exposure to a resecuritisation . [Note: BCD , Article 4(40b)]…
EuVECA
As Published: 2014
EuVECA
95 a qualifying venture capital fund (as defined in the EuVECA regulation ).
in default
As Published: 2001
in default
the status of being in default following a determination made under COMP 6.3.1 R . 5…
settlement agent
As Published: 2001
settlement agent
a person with or through whom the firm effects settlement of UK -settled or foreign-settled transactions. 5…
POS Regulations
As Published: 2001
POS Regulations
5 the Public Offers of Securities Regulations 1995 (SI 1995/1537).
MERS levy
As Published: 2010
MERS levy
70 a levy (management expenses in respect of relevant schemes levy) imposed by the FSCS on participant firms to meet the management expenses incurred by the FSCS in connection with acting on behalf of…