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margin threshold
As Published: 2006
margin threshold
40 (in accordance with Part 1 of Annex III of the Banking Consolidation Directive (Definitions) and for the purpose of BIPRU 13 (The calculation of counterparty risk exposure values for financial deri…
full scope regulatory reference firm
As Published: 2016
full scope regulatory reference firm
102 for the purpose of SYSC 22 (Regulatory references): (a) a relevant authorised person ; (b) a Solvency II firm ; or (c) a large non-directive insurer .
guaranteed annuity rate
As Published: 2015
guaranteed annuity rate
56 an arrangement in a pension scheme to provide benefits whereby, in defined circumstances and irrespective of the prevailing market rate for annuities when those benefits come into payment, a member…
long-term insurance liabilities
As Published: 2004
long-term insurance liabilities
13 liabilities arising from long-term insurance business .
reversion adviser
As Published: 2006
reversion adviser
42 a firm with permission (or which ought to have permission ) for advising on a home reversion plan .
Electronic Money Regulations
As Published: 2011
Electronic Money Regulations
71 172 the Electronic Money Regulations 2011 (SI 2011/99).
charity AIF
As Published: 2013
charity AIF
148 an AIF constituted under: (a) the Church Funds Investment Measure 1958; or (b) section 96 of the Charities Act 2011; or (c) section 25 of the Charities Act (Northern Ireland) 1964; or (d) section…
regulatory high risk category
As Published: 2006
regulatory high risk category
46 (for the purposes of the standardised approach to credit risk) an item that falls into BIPRU 3.4.104 R (Items belonging to regulatory high risk categories under the standardised approach to credit…
schedule
As Published: 2005
schedule
(in Part 6 rules ) (as defined in the PD Regulation ) a list of minimum information requirements adapted to the particular nature of the different types of issuers and/or the different securities invo…
MiFID RTS 12
As Published: 2017
MiFID RTS 12
118 Commission Delegated Regulation (EU) No 2017/570 of 26 May 2016 supplementing MiFID with regard to regulatory technical standards on the determination of a material market in terms of liquidity re…
non-UCITS retail scheme
As Published: 2004
non-UCITS retail scheme
an authorised fund which is neither a UCITS scheme or a qualified investor scheme . 9…
non-ILAS BIPRU firm
As Published: 2009
non-ILAS BIPRU firm
34 a firm falling into BIPRU 12.1.1R which is not an ILAS BIPRU firm .
half-yearly accounting period
As Published: 2001
half-yearly accounting period
(in COLL ) a period determined in accordance with COLL 6.8.2 R (2) (Accounting periods). 1 6…
IPRU(INV)
As Published: 2001
IPRU(INV)
the Interim Prudential sourcebook for Investment Businesses. 5…
EMIR L2 Regulation
As Published: 2013
EMIR L2 Regulation
86 Commission Delegated Regulation (EU) No 149/2013 of 19 December 2012 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical stan…
clearing arrangement mandatory prudent segregation record
As Published: 2014
clearing arrangement mandatory prudent segregation record
166 the record created and maintained by a firm under CASS 7.13.74 R and CASS 7.13.75 R .