Search Result
firm's equity balance
As Published: 2014
firm's equity balance
76 the sum of money described in CASS 7.16.29 R .
internal approaches
As Published: 2013
internal approaches
124 one or more of the following, as referred to in the EU CRR : (a) the Internal Ratings Based Approach in article 143(1); (b) the Internal Models Approach in article 221; (c) the own estimates appro…
MCOB 6 Annex 3 - Cooling-Off Document of a regulated sale and rent back agreement.
As Published: 2010
MCOB 6 Annex 3 - Cooling-Off Document of a regulated sale and rent back agreement.
…
partner
As Published: 2001
partner
(in relation to a firm which is a partnership ) any person appointed to direct its affairs, including: (a) a person occupying the position of a partner (by whatever name called); and (b) a person in a…
REC
As Published: 2001
REC
the Recognised Investment Exchange and Recognised Clearing House sourcebook. 5…
individual liquidity guidance
As Published: 2009
individual liquidity guidance
86 guidance given to a firm about the amount, quality and funding profile of liquidity resources that the appropriate regulator 194 has asked the firm to maintain.
chief executive
As Published: 2001
chief executive
(1) (in relation to an undertaking whose principal place of business is within the United Kingdom ) the person who, alone or jointly with one or more others, is responsible under the immediate authori…
authorised contractual scheme manager
As Published: 2013
authorised contractual scheme manager
100 a firm , including, if relevant, an EEA UCITS management company or incoming EEA AIFM 101 , which is the authorised fund manager of the ACS in accordance with the contractual scheme deed .
master netting agreement internal models approach permission
As Published: 2006
master netting agreement internal models approach permission
88 requirement or a waiver that requires a BIPRU firm to use the master netting agreement internal models approach on a solo basis or, if the context requires, a consolidated basis.
total group tier two capital
As Published: 2004
total group tier two capital
14 the sum calculated at stage B of the calculation in INSPRU 6.1.43R 26 .
cash
As Published: 2013
cash
149 in accordance with section 189(1) of the CCA , includes money in any form.
advising on investments (except pension transfers and pension opt-outs)
As Published: 2004
advising on investments (except pension transfers and pension opt-outs)
advising on investments (except P2P agreements) other than 131 in respect of pension transfers and pension opt-outs .
non-equity transferable securities
As Published: 2005
non-equity transferable securities
(in PR ) (as defined in section 102A of the Act ) all transferable securities that are not equity securities. 15…
COBS 19 Annex 1 Retirement risk warnings - steps to take
As Published: 2015
COBS 19 Annex 1 Retirement risk warnings - steps to take
…
managing a UCITS
As Published: 2013
managing a UCITS
84 the regulated activity , specified in article 51ZA of the Regulated Activities Order of carrying on collective portfolio management within the meaning of the UCITS Directive , in relation to a UCIT…
retirement fund
As Published: 2001
retirement fund
the amount which will be available, at the date on which the investor retires, for the provision of benefits. 5…
general liability
As Published: 2001
general liability
(in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph 13 of Part I of Schedule 1 to the Regulated Activities Order (Contracts of general insura…
transactions by acquirers operating in the United Kingdom
As Published: 2015
transactions by acquirers operating in the United Kingdom
69 all transactions acquired by: (a) UK -based acquirers (or an operator acting as such an acquirer ) 75 resulting in payments to merchants located in the United Kingdom ; (b) UK -based acquirers (or…