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authorised professional firm
As Published: 2001
authorised professional firm
4 a professional firm which is an authorised person .
mesothelioma regulations
As Published: 2006
mesothelioma regulations
41 The Compensation Act 2006 (Contribution for Mesothelioma Claims) Regulations 2006 (SI 2006/3259).
convertible
As Published: 2006
convertible
(for the purposes of BIPRU and IFPRU ) a security which gives the investor the right to convert the security into a share at an agreed price or on an agreed basis.
land vehicles
As Published: 2001
land vehicles
(in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph 3 of Part I of Schedule 1 to the Regulated Activities Order (Contracts of general insuran…
PD Regulation
As Published: 2005
PD Regulation
the Prospectus Directive Regulation (No 2004/809/EC). 30…
CONRED 2 Annex 2 Letter to consumers confirming existence of review and inviting request to opt-in
As Published: 2013
CONRED 2 Annex 2 Letter to consumers confirming existence of review and inviting request to opt-in
…
overall financial sector
As Published: 2004
overall financial sector
14 a sector composed of one or more the following types of entities: (a) members of each of the financial sectors ; and (b) (except where 29 GENPRU 3.1 29 (Cross sector groups) or 29 GENPRU 3 Ann 1R 2…
physical safe custody asset
As Published: 2014
physical safe custody asset
119 a safe custody asset (or tangible evidence of one) that is in a firm's physical custody and which may also be registered with the relevant issuer or agent of the issuer.
risk of excessive leverage
As Published: 2013
risk of excessive leverage
128 has the meaning in article 4(1)(94) of the EU CRR .
professional ACS investor
As Published: 2013
professional ACS investor
109 in relation to an ACS , a person who falls within one of the categories (1) to (4) of Section I of Annex II (professional clients for the purpose of that directive) to MiFID .
local authority
As Published: 2013
local authority
50 (a) in England and Wales, a local authority within the meaning of the Local Government Act 1972, the Greater London Authority, the Common Council of the City of London or the Council of the Isles o…
employer
As Published: 2015
employer
105 (for the purposes of SUP 15.11 (Notification of conduct rule breaches and disciplinary action) 115 and COCON , and as defined in more detail in section 64A of the Act (Rules of conduct)), the pers…
IPRU-INS Interim Prudential sourcebook for Insurers
As Published: 2004
IPRU-INS Interim Prudential sourcebook for Insurers
…
general insurance capital requirement
As Published: 2004
general insurance capital requirement
12 the highest of the premiums amount , claims amount and brought forward amount as set out in INSPRU 1.1 20 .
unattached shares
As Published: 2011
unattached shares
45 (in CREDS ) means the total shares in the credit union other than any attached shares or deferred shares .
recognised third country credit institution
As Published: 2006
recognised third country credit institution
130 a full CRD credit institution that satisfies the following conditions: (a) its head office is outside the EEA ; (b) it is authorised by a third country competent authority in the state or territor…
BIPRU Remuneration Code staff
As Published: 2013
BIPRU Remuneration Code staff
51 for a BIPRU firm and a third country BIPRU firm , has the meaning given in SYSC 19C.3.4 R .
debenture
As Published: 2001
debenture
the investment , specified in article 77 of the Regulated Activities Order (Instruments creating or acknowledging indebtedness), which is in summary: any of the following which are not government and…
Micro-enterprise Recommendation
As Published: 2009
Micro-enterprise Recommendation
60 168 Recommendation 2003/361/EC of the Commission of 6th May 2003 concerning the definition of micro, small and medium-sized enterprises.
small authorised UK AIFM
As Published: 2013
small authorised UK AIFM
115 a UK AIFM which: (a) is a small AIFM ; and (b) has not opted in to AIFMD in accordance with article 3(4) of AIFMD to become a full-scope UK AIFM .