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home purchase arranger
As Published: 2006
home purchase arranger
8 a firm with permission (or which ought to have permission ) for arranging a home purchase plan .
tier two capital
As Published: 2002
tier two capital
(1) 14 46 120 [deleted] 46 120 (2) (in 26 BIPRU , GENPRU and INSPRU 26 ) an item of capital that is specified in stages G (Upper tier two capital) 26 or H (Lower tier two capital) 26 of the capital re…
ESMA Prospectus Recommendations
As Published: 2012
ESMA Prospectus Recommendations
the ESMA update of the CESR recommendations: The consistent implementation of Commission Regulation (EC) No 809/2004 implementing the Prospectus Directive (ESMA/2013/319). 104…
defined benefit asset
As Published: 2005
defined benefit asset
the excess of the value of the assets in a defined benefit occupational pension scheme over the present value of the scheme liabilities, to the extent that a firm , as employer, in accordance with the…
non-independent research
As Published: 2007
non-independent research
27 73 an investment recommendation that does not meet the conditions set out in article 36(1) of the MiFID Org Regulation . [Note: article 36(1) 73 of the MiFID Org Regulation 73 ]…
FSB Compensation Standards
As Published: 2010
FSB Compensation Standards
47 the Implementation Standards for Principles for Sound Compensation Practices issued by the Financial Stability Board on 25 September 2009.
overall financial adequacy rule
As Published: 2006
overall financial adequacy rule
61 (1) (in GENPRU and BIPRU 79 ) GENPRU 1.2.26 R (Requirement for certain firms to have adequate financial resources). (2) (in IFPRU ) IFPRU 2.2.1R (Adequacy of financial resources).
COMP 4.4 Exceptions: Relevant general insurance contracts: mesothelioma claims
As Published: 2006
COMP 4.4 Exceptions: Relevant general insurance contracts: mesothelioma claims
…
value at risk
As Published: 2006
value at risk
8 (in relation to risk modelling or estimation for the purposes of BIPRU 15 ) the measure of risk described in BIPRU 7.10.146 R (Requirement to use value at risk methodology).
MiFID RTS 11
As Published: 2017
MiFID RTS 11
118 Commission Delegated Regulation (EU) 2017/588 of 14 July 2016 supplementing MiFID with regard to regulatory technical standards on the tick size regime for shares, depositary receipts and exchange…
authorised business overdraft agreement
As Published: 2014
authorised business overdraft agreement
107 a borrower-lender agreement which provides authorisation in advance for the borrower to overdraw on a current account, where the agreement is entered into by the borrower wholly or predominantly f…
AVC
As Published: 2001
AVC
a voluntary contribution arrangement paid by a member of an occupational pension scheme under the terms of the scheme or of a separate contract. 49…
Accounting Directive
As Published: 2014
Accounting Directive
115 Directive 2013/34/EU of the European Parliament and of the Council of 26 June 2013 on the annual financial statements, consolidated financial statements and related reports of certain types of und…
permitted third party
As Published: 2001
permitted third party
a third party who is: (a) an authorised person ; or (b) an exempt person for whom an authorised person is accepting responsibility; or (c) a person lawfully carrying on a regulated activity in another…
net underwriting exposure
As Published: 2006
net underwriting exposure
19 has the meaning in BIPRU 7.8.34R (Large exposure risk from underwriting securities: Calculating the net underwriting exposure) which is in summary the amount calculated by applying the reduction fa…
investment trust savings scheme
As Published: 2001
investment trust savings scheme
(a) a dealing service (whether or not held within a pension contract ) dedicated to the securities of one or more investment trusts ; 30 (b) securities to be acquired through an investment trust savin…
making arrangements with a view to a home finance transaction
As Published: 2006
making arrangements with a view to a home finance transaction
34 any of the regulated activities of making arrangements with a view to a regulated mortgage contract , making arrangements with a view to a home reversion plan , 63 making arrangements with a view t…
institution
As Published: 2006
institution
124 (1) has the meaning in article 4(1)(3) of the EU CRR ). (2) (for the purposes of GENPRU and BIPRU ) includes a CAD investment firm .
ICOBS Sch 3 Fees and other required payments requirements
As Published: 2007
ICOBS Sch 3 Fees and other required payments requirements
…