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tier two instrument
As Published: 2004
tier two instrument
a 14 capital instrument 26 that meets the conditions inGENPRU 2.2.159R (General conditions for eligibility as tier two capital instruments) or GENPRU 2.2.177R (Upper tier two capital: General) 26 and…
execute
As Published: 2001
execute
(in relation to a transaction) carry into effect or perform the transaction, whether as principal or as agent, including instructing another person to execute the transaction. 4…
CASS small debt management firm
As Published: 2014
CASS small debt management firm
157 a CASS debt management firm falling within the classification of CASS small debt management firm in CASS 11.2.3 R .
carrying out contracts of insurance
As Published: 2001
carrying out contracts of insurance
the regulated activity , specified in article 10(2) of the Regulated Activities Order (Effecting and carrying out contracts of insurance), of carrying out a contract of insurance as principal. 3…
one-day VaR measure
As Published: 2006
one-day VaR measure
29 (in BIPRU 7.10 (Use of a value at risk model)) has the meaning in BIPRU 7.10.98R (Backtesting: One day VaR measure), which is in summary and in relation to a particular business day , the VaR numbe…
finance platform
As Published: 2016
finance platform
103 (in accordance with section 7(2) of the Small Business, Enterprise and Employment Act ) a person that provides a service for the exchange of information between finance providers and businesses th…
ADR entity
As Published: 2015
ADR entity
120 188 any entity, however named or referred to, which is listed in accordance with article 20(2) of the ADR Directive . [Note: article 4(1) of the ADR Directive ]…
resilience capital requirement
As Published: 2004
resilience capital requirement
29 the capital component for long-term insurance business calculated in accordance with the rules in INSPRU 3.1.9G to INSPRU 3.1.26R 46 .
SUP App 2.9 Under control of a new parent undertaking
As Published: 2001
SUP App 2.9 Under control of a new parent undertaking
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RAP recognition requirements
As Published: 2011
RAP recognition requirements
105 (1) (in relation to an RAP ) any of the requirements applicable to an RAP under the RAP regulations , the auction regulation or the MiFID Regulation . (2) (in relation to a UK RIE applying for rec…
own-initiative variation power
As Published: 2013
own-initiative variation power
117 The FCA's or the PRA's power under section 55J (Variation or cancellation on initiative of regulator) to vary or cancel a Part 4A permission otherwise than on the application of a firm .
business illustration
As Published: 2003
business illustration
9 an illustration for a regulated mortgage contract that is for a business purpose.
standard terms
As Published: 2001
standard terms
(in DISP ) the contractual terms made under paragraph 18 of Schedule 17 to the Act (The Ombudsman Scheme), under which VJ participants participate in the Voluntary Jurisdiction . 5 22…
BIPRU 1 Annex 2D Application form to apply the IRB approach
As Published: 2007
BIPRU 1 Annex 2D Application form to apply the IRB approach
…
exercising, or having the right to exercise, the owner's rights and duties under a regulated consumer hire agreement
As Published: 2013
exercising, or having the right to exercise, the owner's rights and duties under a regulated consumer hire agreement
87 the regulated activity specified in article 60N(2) of the Regulated Activities Order .
matched principal exemption conditions
As Published: 2006
matched principal exemption conditions
40 91 (1) (for the purposes of BIPRU ) the conditions set out in BIPRU 1.1.23 R(2) (Meaning of dealing on own account). 91 (2) (other than in BIPRU ) the conditions set out in IFPRU 1.1.12R (Meaning o…
home finance provider
As Published: 2006
home finance provider
8 a firm with permission (or which ought to have permission ) for entering into a home finance transaction .
non-UK DLG by modification
As Published: 2009
non-UK DLG by modification
35 either of the following: (a) a non-UK DLG by modification (firm level) ; or (b) a non-UK DLG by modification (DLG level) .