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third country investment firm
As Published: 2006
third country investment firm
28 25 a firm which would be a MiFID investment firm if it had its head office in the EEA .
CASS large debt management firm external client money reconciliation
As Published: 2014
CASS large debt management firm external client money reconciliation
157 the external client money reconciliation that CASS large debt management firms are obliged to undertake pursuant to CASS 11.11.25 R to CASS 11.11.26 R .
consolidated requirement component
As Published: 2006
consolidated requirement component
48 has the meaning in BIPRU 8.7.11 R (Calculation of the consolidated requirement components), which in summary is one of the following: (a) the consolidated credit risk requirement ; or (b) the conso…
BIPRU 8 Annex 1 Decision tree identifying a UK consolidation group
As Published: 2007
BIPRU 8 Annex 1 Decision tree identifying a UK consolidation group
…
open currency position
As Published: 2006
open currency position
29 the amount calculated under BIPRU 7.5.19R (Open currency position) as part of the calculation of the foreign currency PRR .
cross-border dispute
As Published: 2015
cross-border dispute
176 290 (as defined in regulation 5 of the ADR Regulations ) a dispute concerning contractual obligations arising from a sales contract or a service contract where, at the time the consumer orders the…
risk capital margin
As Published: 2004
risk capital margin
29 the risk capital margin for a with-profits fund calculated in accordance with the rules in INSPRU 1.3.43R to INSPRU 1.3.103G 46 .
cross-transaction
As Published: 2001
cross-transaction
(a) a transaction by which a person matches, at the same price and on the same terms, the buy and sell orders of two or more persons for whom he is acting as agent; (b) a transaction to which only one…
CTF Regulations
As Published: 2004
CTF Regulations
24 the Child Trust Funds Regulations 2004 (SI 2004/1450).
listing particulars
As Published: 2005
listing particulars
(in LR ) (in accordance with section 79(2) of the Act ), a document in such form and containing such information as may be specified in listing rules . 14…
recognised auction platform
As Published: 2011
recognised auction platform
105 a recognised investment exchange which is declared by a recognition order for the time being in force to be a recognised auction platform .
cashback
As Published: 2003
cashback
14 (in MCOB ) a cash amount paid by a mortgage lender to a customer (typically at the beginning of a contract) as an inducement to enter into a regulated mortgage contract with the mortgage lender .
benchmark administrator
As Published: 2013
benchmark administrator
a 68 person who has authorisation to carry on 68 the regulated activity of administering a specified benchmark .
community benefit society
As Published: 2014
community benefit society
157 a society registered (or deemed to be registered) under the Industrial and Provident Societies Act 1965 which fulfils the condition in section 1(2)(b) of that Act or a society registered (or deeme…
basis risk
As Published: 2004
basis risk
16 the risk that the relationship between two financial variables will change, particularly between two sorts of interest rate or between a hedge and the position it ostensibly hedges.
professional indemnity insurance contract
As Published: 2016
professional indemnity insurance contract
144 a contract of insurance against the risk of the person insured incurring liability to a third party arising out of the insured's business activities.
unregulated activity
As Published: 2001
unregulated activity
an activity which is not a regulated activity . 2…
ECD Regulations
As Published: 2002
ECD Regulations
6 the Electronic Commerce Directive (Financial Services and Markets) Regulations 2002 (SI 2002/1775).