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approved credit institution
As Published: 2001
approved credit institution
a credit institution recognised or permitted under the law of an EEA State to carry on any of the activities set out in Annex 1 to the CRD 106 .
credit repair firm
As Published: 2013
credit repair firm
151 a firm which carries on the activity of providing credit information services with a view to securing or advising on the correction of or omission of anything from, or making of any modification o…
approved stock lending transaction
As Published: 2004
approved stock lending transaction
21 a stock lending transaction in respect of which the conditions in 37 INSPRU 3.2.36 R 37 have been met.
intermediate holding vehicle
As Published: 2007
intermediate holding vehicle
71 a company , trust or partnership but not a collective investment scheme , whose purpose is to enable the holding of overseas 74 immovables on behalf of a non-UCITS retail scheme or a qualified inve…
multiplication factor
As Published: 2006
multiplication factor
40 (in BIPRU 7.10 (Use of a value at risk model)) a multiplication factor applied to a VaR measure for the purpose of calculating the model PRR made up of the minimum multiplication factor as increase…
defined liquidity group
As Published: 2009
defined liquidity group
57 a DLG by default or DLG by modification .
shared appreciation mortgage
As Published: 2003
shared appreciation mortgage
15 a regulated mortgage contract , a condition of which is that the mortgage lender will receive a share in any increase in value in the mortgaged property when the customer either sells the property…
TC Sch 3 Fees and other required payments
As Published: 2007
TC Sch 3 Fees and other required payments
…
VaR model permission
As Published: 2006
VaR model permission
15 an Article 129 implementing measure , a requirement or a waiver that requires a BIPRU firm or a CAD investment firm to use the VaR model approach on a solo basis or, if the context requires, a cons…
UCITS
As Published: 2011
UCITS
43 undertakings for collective investment in transferable securities that are established in accordance with the UCITS Directive .
MCD mortgage adviser
As Published: 2015
MCD mortgage adviser
99 a mortgage adviser who, by way of business, provides a personal recommendation to a consumer in respect of MCD regulated mortgage contracts . [Note: article 4(21) of the MCD ]…
constable
As Published: 2001
constable
a police officer in the United Kingdom or a person commissioned by the Commissioners for HM Revenue and Customs. 30…
third-country competent authority
As Published: 2004
third-country competent authority
13 the authority of a country or territory which is not an EEA State that is empowered by law or regulation to supervise (whether on an individual or group-wide basis) regulated entities .
CIU look through method
As Published: 2006
CIU look through method
48 one of the standard CIU look through method or the modified CIU look through method .
regulated benchmark administrator
As Published: 2018
regulated benchmark administrator
185 a person who has a Part 4A permission to carry on the regulated activity of administering a benchmark .
NURS-KII document
As Published: 2017
NURS-KII document
72 a document prepared for a retail client in a non-UCITS retail scheme which contains the key investor information required by COLL 4.7.2R (Key investor information).
holding company
As Published: 2001
holding company
(as defined in section 1159(1) 16 of the Companies Act 2006 (Meaning of "subsidiary" etc) 16 (in relation to another body corporate ("S")) a body corporate which: (a) holds a majority of the voting ri…
external AIFM
As Published: 2013
external AIFM
85 (in accordance with regulation 4(3)(a) of the AIFMD UK regulation ) an AIFM appointed by, or on behalf of, an AIF and which, through that appointment, is responsible for managing the AIF .
advising on a home finance transaction
As Published: 2006
advising on a home finance transaction
32 any of the regulated activities of advising on regulated mortgage contracts , advising on a home purchase plan , advising on a home reversion plan or advising on a regulated sale and rent back agre…