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limited liability partnership
As Published: 2001
limited liability partnership
(a) a body corporate incorporated under the Limited Liability Partnerships Act 2000; (b) a body corporate incorporated under legislation having the equivalent effect to the Limited Liability Partnersh…
MCD credit adviser
As Published: 2015
MCD credit adviser
99 a firm with permission (or which ought to have permission ) to carry on the activity, by way of business, of advising on regulated credit agreements for the acquisition of land . [Note: article 4(2…
Personal Insurance Arbitration Service
As Published: 2001
Personal Insurance Arbitration Service
the former scheme set up on a voluntary basis and run by the Chartered Institute of Arbitrators to handle complaints against those insurance companies which subscribed to it. 2…
AIFM management functions
As Published: 2013
AIFM management functions
96 the management functions of an AIFM listed in Annex I to AIFMD .
dealing
As Published: 2005
dealing
24 (1) 107 (in accordance with paragraph 2 of Schedule 2 to the Act ( Regulated activities ) 107 buying, selling, subscribing for or underwriting investments or offering or agreeing to do so, either a…
ongoing basis
As Published: 2010
ongoing basis
45 in BIPRU 9.15 , maintaining on an ongoing basis means that the retained positions, interest or exposures are not hedged or sold. [Note: BCD , Article 122a, paragraph 1]…
port
As Published: 2012
port
in respect of the assets and positions recorded in a client transaction account that is an individual client account or an omnibus client account at an authorised central counterparty , action taken b…
MTF transaction
As Published: 2007
MTF transaction
44 a transaction concluded by a firm under the rules governing an MTF with another member or participant of that MTF .
non-standard method of internal client money reconciliation
As Published: 2014
non-standard method of internal client money reconciliation
56 the method of internal client money reconciliation described in CASS 7.15.17 R . 56…
total cost of credit to the borrower
As Published: 2013
total cost of credit to the borrower
55 (in CONC App 1.2 ) all costs, including interest, commissions, taxes and any other kind of fees which are required to be paid by, or on behalf of, the borrower or a relative of the borrower in conn…
group respondents
As Published: 2013
group respondents
85 all respondents identified as part of the relevant charging group as defined in FEES 5 Annex 3R Part 3 .
tier two capital resources
As Published: 2004
tier two capital resources
14 the sum calculated at stage I (Total tier two capital) 26 of the calculation in the capital resources table 26 .
equivalent business of a third country investment firm
As Published: 2006
equivalent business of a third country investment firm
33 the business of a third country investment firm carried on from an establishment in the United Kingdom that would be MiFID business if that firm were a MiFID investment firm .
CASS large debt management firm
As Published: 2014
CASS large debt management firm
157 a CASS debt management firm falling within the classification of CASS large debt management firm in CASS 11.2.3 R .
cash component
As Published: 2001
cash component
a qualifying investment prescribed in paragraph 8 of the ISA Regulations (Qualifying investments for a cash component). 3…
Disciplinary Tribunal
As Published: 2001
Disciplinary Tribunal
a Tribunal appointed under Schedule 2 to Lloyd's Disciplinary Committees Byelaw (No 31 of 1996). 3…
MIPRU Sch 3 Fees and other required payments
As Published: 2006
MIPRU Sch 3 Fees and other required payments
…