Search Result
arranging (bringing about) a home finance transaction
As Published: 2006
arranging (bringing about) a home finance transaction
32 any of the regulated activities of arranging (bringing about) a regulated mortgage contract , arranging (bringing about) a home purchase plan , arranging (bringing about) a home reversion plan or a…
permanent health reinsurance business
As Published: 2006
permanent health reinsurance business
40 reinsurance acceptances which are contracts of insurance falling within long-term insurance business class IV.
financial year in question
As Published: 2004
financial year in question
13 (for the purposes of INSPRU 1.1 23 ) the last financial year to end before the date on which the latest accounts of the insurer are required to be deposited with the appropriate regulator 151 ; the…
standing independent valuer
As Published: 2001
standing independent valuer
the person appointed as such under COLL 5.6.20 R (Standing independent valuer and valuation) and COLL 8.4.13R (1) (Standing independent valuer and valuation). 5…
listing rules
As Published: 2001
listing rules
(in accordance with sections 73A(1) and 35 73A(2) of the Act ) rules relating to admission to the official list . 14…
advising on pension transfers, pension conversions and pension opt-outs
As Published: 2018
advising on pension transfers, pension conversions and pension opt-outs
144 any of the following regulated activities : (a) advising on investments (except P2P agreements) in respect of pension transfers and pension opt-outs (article 53(1) of the Regulated Activities Orde…
deposit back arrangement
As Published: 2004
deposit back arrangement
23 (in relation to any contract of reinsurance ) an arrangement whereby an amount is deposited by the reinsurer with the cedant.
plan manager
As Published: 2001
plan manager
5 in relation to: (a) 67 [deleted] 67 (b) a group ISA , the ISA manager ; (c) a group savings plan , the person primarily responsible for that group savings plan .
SFA Consumer Arbitration Scheme
As Published: 2001
SFA Consumer Arbitration Scheme
the second stage of the SFA scheme , which determined complaints by means of arbitration. 1…
high earner
As Published: 2012
high earner
29 (in SYSC and SUP ) an employee whose total annual remuneration is EUR 1 million or more per year or its equivalent in another currency determined by reference to the conversion rate applicable to t…
payment leg
As Published: 2006
payment leg
43 (for the purposes of the CCR standardised method and as more fully defined in BIPRU 13.5.2 R (Derivation of risk position: payment legs) the contractually agreed gross payments under a financial de…
person exercising significant influence
As Published: 2005
person exercising significant influence
(in LR ) in relation to a listed company , a person or entity which exercises significant influence over that listed company . 30…
consumer hire agreement
As Published: 2013
consumer hire agreement
149 in accordance with article 60N of the Regulated Activities Order , an agreement between a person ("the owner") and an individual ("the hirer") for the bailment or, in Scotland, the hiring of goods…
MiFID RTS 25
As Published: 2017
MiFID RTS 25
118 Commission Delegated Regulation (EU) 2017/574 of 7 June 2016 supplementing MiFID with regard to regulatory technical standards for the level of accuracy of business clocks.
pension contract
As Published: 2001
pension contract
a contract under which rights to benefits are obtained by the making of contributions to an occupational pension scheme or to a personal pension scheme , where the contributions are paid to a regulate…
interim accounting period
As Published: 2001
interim accounting period
(in COLL ) a period within an annual accounting period in respect of which an allocation of income is to be made. 5 24…
limited partner
As Published: 2013
limited partner
49 in relation to a limited partnership scheme , a participant in the scheme (other than the nominated partner ).
dealing in investments as principal
As Published: 2001
dealing in investments as principal
the regulated activity , specified in article 14 of the Regulated Activities Order (Dealing in investments as principal), which is in summary: buying , selling , subscribing for or underwriting design…