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permitted immovable
As Published: 2001
permitted immovable
any interest in land or buildings 48 which falls within COLL 5.6.18 R (2) and COLL 5.6.18 R (6) (Investment in property) and which, being a leasehold interest or its equivalent, has an unexpired term…
position risk requirement
As Published: 2006
position risk requirement
43 a capital requirement applied to a position treated under BIPRU 7 (Market risk) as part of the calculation of the market risk capital requirement or, if the relevant provision of the Handbook disti…
CONRED 2 Annex 7 Letter to consumers confirming their case will be reviewed
As Published: 2013
CONRED 2 Annex 7 Letter to consumers confirming their case will be reviewed
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FCA-approved person
As Published: 2013
FCA-approved person
149 an approved person in relation to whom the FCA has given its approval under section 59 of the Act (Approval for particular arrangements) for the performance of an FCA controlled function .
ESMA Prospectus Opinions
As Published: 2016
ESMA Prospectus Opinions
the following opinions 113 published by ESMA : 113 (1) Format of the base prospectus and consistent application of article 26(4) of the Prospectus Regulation (ESMA/2013/1944); 113 (2) Framework for th…
final notice
As Published: 2001
final notice
a notice given by the appropriate regulator 151 under section 390 of the Act (Final notices). 2…
regulated sale and rent back firm
As Published: 2009
regulated sale and rent back firm
76 a firm that carries on any regulated sale and rent back activity .
relevant overseas USRs
As Published: 2015
relevant overseas USRs
145 the following overseas uncertificated securities regulations: (a) the Jersey Companies (Uncertificated Securities) (Jersey) Order 1999; (b) the Guernsey Uncertified Securities (Guernsey) Regulatio…
insurance undertaking
As Published: 2001
insurance undertaking
an undertaking including a member that carries on insurance business , whether or not an insurer . 134…
GENPRU Sch 3 Fees and other requirement payments
As Published: 2006
GENPRU Sch 3 Fees and other requirement payments
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index-linked security
As Published: 2010
index-linked security
90 (in COLL ) a debt security for which the cash flows are determined by reference to an index of consumer prices.
UK AIFM
As Published: 2013
UK AIFM
48 an AIFM established in the UK and with a Part 4A permission to carry on the regulated activity of managing an AIF .
MiFID implementing Directive
As Published: 2006
MiFID implementing Directive
39 Commission Directive No. 2006/73/EC implementing Directive 2004/39/EC of the European Parliament and of the Council as regards organisational requirements and operating conditions for investment fi…
electronic SCV rules
As Published: 2009
electronic SCV rules
(in COMP ) COMP 17.2.1 R(2) , COMP 17.2.3 R(3) and COMP 17.2.5 R , the application of which is determined by COMP 17.1 and COMP 17.2.7 R . 60…
counterparty risk capital component
As Published: 2006
counterparty risk capital component
48 the part of the credit risk capital requirement calculated in accordance with BIPRU 14.2.1 R (Calculation of the counterparty risk capital component).
Building Societies Ombudsman scheme
As Published: 2001
Building Societies Ombudsman scheme
1 the former scheme set up and recognised under the Building Societies Act 1986 to handle complaints about building societies .
exercise price
As Published: 2005
exercise price
(in LR ) (in relation to securitised derivatives ), the price stipulated by the issuer at which the holder can buy or sell the underlying instrument from or to the issuer . 26…