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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 .
engage in investment activity
As Published: 2001
engage in investment activity
(as defined in section 21(8) of the Act ) (Restrictions on financial promotion)): (a) enter or offer to enter into an agreement the making or performance of which by either party constitutes a control…
business premises
As Published: 2013
business premises
48 (in CONC App 1.3 56 ) premises for occupation for the purposes of a business (including any activity carried on by a body of persons , whether corporate or unincorporate) or for those and other pur…
entering into a home reversion plan
As Published: 2006
entering into a home reversion plan
31 the regulated activity , specified in article 63B(1) of the Regulated Activities Order , which is in summary: entering into a home reversion plan as provider, or acquiring any obligations or rights…
controlled agreement
As Published: 2001
controlled agreement
(as defined in section 30 of the Act (Enforceability of agreements resulting from unlawful communications)) an agreement the making or performance of which by either party constitutes a controlled act…
RCB 3 Annex 3 Asset and liability profile form
As Published: 2008
RCB 3 Annex 3 Asset and liability profile form
…
complaints data publication rules
As Published: 2010
complaints data publication rules
102 DISP 1.10A .
savings account
As Published: 2015
savings account
144 an account, other than an account relating to a structured deposit , held for a banking customer : (a) on terms that interest or a dividend is to be paid on money standing to the credit of the acc…
wholesale market broker
As Published: 2001
wholesale market broker
a firm when carrying out the activities of name-passing broker , or acting on a matched principal basis, with or for market counterparties . 3…
BIPRU 3 Annex 4 Exposures to institutions: Interaction with short-term credit assessments in BIPRU 3.4.40R
As Published: 2007
BIPRU 3 Annex 4 Exposures to institutions: Interaction with short-term credit assessments in BIPRU 3.4.40R
…
Regulated Activities Amendment Order
As Published: 2014
Regulated Activities Amendment Order
132 the Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No 2) Order 2013 (SI 2013/1881).
authorised central counterparty
As Published: 2012
authorised central counterparty
a CCP authorised or recognised under EMIR . 93…
contribution percentage charge
As Published: 2015
contribution percentage charge
184 a charge used by an operator of a qualifying scheme which is calculated as a percentage of contributions made by, or on behalf of, a member of that qualifying scheme over a defined period of time.
deposit-based stakeholder product
As Published: 2004
deposit-based stakeholder product
22 the stakeholder product specified by regulation 4 (certain deposit accounts) of the Stakeholder Regulations ;…
actuarial valuation date
As Published: 2004
actuarial valuation date
21 the date as at which the mathematical reserves are calculated.