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equity share
As Published: 2005
equity share
25 shares comprised in a company's equity share capital .
COMP 16.2 Informing depositors of limitations to coverage
As Published: 2009
COMP 16.2 Informing depositors of limitations to coverage
…
self-certified sophisticated investor
As Published: 2014
self-certified sophisticated investor
221 a person who meets the requirements set out in article 23A of the Promotion of Collective Investment Schemes Order , in article 50A of the Financial Promotions Order or in COBS 4.12.8 R .
limited redemption arrangements
As Published: 2004
limited redemption arrangements
the arrangements operated by an authorised fund manager for the redemption of units in an authorised fund where the authorised fund manager holds himself out to redeem units in that scheme less freque…
related party circular
As Published: 2005
related party circular
(in LR ) a circular relating to a related party transaction . 31…
Non-Exempt Activities Order
As Published: 2001
Non-Exempt Activities Order
the Financial Services and Markets Act 2000 (Professions) (Non-Exempt Activities) Order 2001 (SI 2001/1227). 2…
Individual Liquidity Adequacy Assessment
As Published: 2009
Individual Liquidity Adequacy Assessment
86 a standard ILAS BIPRU firm's assessment of the adequacy of its liquidity resources and systems and controls as required by the rules in BIPRU 12.5.
tariff of charges
As Published: 2003
tariff of charges
9 a list of all the charges (including amounts) that are payable on a home finance transaction 23 , including the reason for, and amount of, each charge.
MCD credit agreement
As Published: 2015
MCD credit agreement
99 an MCD regulated mortgage contract or an MCD article 3(1)(b) credit agreement . [Note: article 3(1) of the MCD ]…
arrangement
As Published: 2001
arrangement
4 (as defined in section 59(10) of the Act (Approval for particular arrangements)) any kind of arrangement for the performance of a function of an authorised person ("A") which is entered into by A or…
International Securities Identification Number (ISIN)
As Published: 2010
International Securities Identification Number (ISIN)
96 a 12-character, alphanumeric code which uniquely identifies a financial instrument and provides for the uniform identification of securities at trading and settlement.
AIFM qualifier
As Published: 2013
AIFM qualifier
96 an EEA AIFM which is marketing , or has marketed , an AIF in the UK by: (a) exercising its EEA right to market under Schedule 3 of the Act (EEA Passport Rights); and (b) is not exercising a right t…
commission
As Published: 2001
commission
any form of commission 3 or remuneration 25 , including a benefit of any kind, offered or given in connection with: 17 (a) designated investment business (other than commission equivalent); 17 23 25 (…
index-linked benefits
As Published: 2004
index-linked benefits
32 benefits: (a) provided for under a linked long-term contract of insurance ; and (b) determined by reference to an index of the value of property of any description (whether specified in the contrac…
IPRU
As Published: 2001
IPRU
the Interim Prudential sourcebook, comprising IPRU(BANK) , IPRU(BSOC) , IPRU(FSOC) , IPRU(INS) and IPRU(INV) , or according to the context one of these Interim Prudential sourcebooks. 5…
money-market instruments
As Published: 2007
money-market instruments
44 those classes of financial instruments which are normally dealt in on the money market, such as treasury bills, certificates of deposit and commercial papers and excluding instruments of payment. […
financial sector entity
As Published: 2013
financial sector entity
72 has the meaning in article 4(1)(27) of the EU CRR .
designated State or territory
As Published: 2001
designated State or territory
any EEA State (other than the United Kingdom ), Australia, Canada or a province of Canada, Hong Kong, Singapore, South Africa, Switzerland, a State in the United States of America, the District of Col…
Advanced Measurement Approach
As Published: 2016
Advanced Measurement Approach
134 has the meaning in the PRA Rulebook .
card payment system
As Published: 2015
card payment system
185 a regulated payment system that enables a holder of a payment card to effect a payment.