Search Result
CCR internal model method permission
As Published: 2006
CCR internal model method permission
156 an Article 129 implementing measure , Article 129 permission , a requirement or a waiver that requires a BIPRU firm or a CAD investment firm to use the CCR internal model method…
home finance providing activity
As Published: 2006
home finance providing activity
8 any of the regulated activities of: (a) entering into a regulated mortgage contract ; (aa) entering into a regulated sale and rent back agreement ; 19 (b) entering into a home purchase plan ; (c) en…
SRB intermediary
As Published: 2010
SRB intermediary
89 a firm with permission (or which ought to have permission ) to carry on a regulated sale and rent back mediation activity .
insurer
As Published: 2001
insurer
5 a firm with permission to effect 48 or carry out contracts of insurance (other than an ISPV 134 ).
over the counter
As Published: 2001
over the counter
(in relation to a transaction in an investment ) not on-exchange . 4…
EMIR
As Published: 2012
EMIR
79 Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories, sometimes referred to as the "European Markets Infrastructure Regulation".
flat-fee charge
As Published: 2015
flat-fee charge
88 a charge used by an operator of a qualifying scheme which is a specified charge for a period of time and which is not calculated by reference to member's contributions or accrued rights.
MiFID Regulation
As Published: 2006
MiFID Regulation
39 Commission Regulation (EC) 1287/2006 implementing Directive 2004/39/EC of the European Parliament and of the Council as regards organisational requirements and operating conditions for investment f…
exercise time
As Published: 2005
exercise time
(in LR ) (in relation to securitised derivatives ), the time stipulated by the issuer by which the holder must exercise their rights. 26…
alternative investment fund
As Published: 2013
alternative investment fund
96 (in accordance with article 4(1)(a) of AIFMD ) a collective investment undertaking, including investment compartments thereof, which: (a) raises capital from a number of investors, with a view to i…
data item
As Published: 2006
data item
One or more related data elements that are grouped together into a prescribed format and required to be submitted by a firm or other regulated entity under SUP 16 or provisions referred to in SUP 16 .
EIS subscription
As Published: 2001
EIS subscription
any money which is subscribed: (a) in the case of an EIS managed portfolio , by the client of the EIS manager whose portfolio it is; (b) in the case of an EIS fund , by the participants in the EIS . 4…
own account trading firm
As Published: 2004
own account trading firm
12 (in relation to firm type in SUP 16.10 (Confirmation of standing data )) a firm that only deals or arranges deals in securities or contractually based investments for its own benefit, or for the be…
CCR mark to market method
As Published: 2006
CCR mark to market method
48 the method of calculating the amount of an exposure set out in BIPRU 13.4 (CCR mark to market method).
CRD bank
As Published: 2013
CRD bank
156 a bank which uses the EU CRR to measure the capital requirement on its trading book.
residual risk
As Published: 2015
residual risk
142 (in MIPRU ) the risk that credit risk mitigation techniques used by the firm prove less effective than expected.
reverse takeover
As Published: 2005
reverse takeover
(in LR ) a transaction classified as a reverse takeover under LR 5.6 . 113 31…
reattribution expert
As Published: 2005
reattribution expert
35 the expert appointed by a firm to satisfy its obligations under COBS 20.2.47 R (Reattribution expert). 54…
foreign law contract
As Published: 2011
foreign law contract
58 any contract other than a contract: (a) governed by the laws of any part of the United Kingdom ; and (b) whose parties agree to the exclusive jurisdiction of the courts of any part of the United Ki…