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mineral expert's report
As Published: 2005
mineral expert's report
(in LR ) a competent person's 93 report prepared in accordance with 93 paragraph 133 of the ESMA Prospectus Recommendations . 102 28…
simplified ILAS
As Published: 2009
simplified ILAS
83 the approach to the calculation of the liquid assets buffer of a simplified ILAS BIPRU firm described in BIPRU 12.6.
dilution risk
As Published: 2006
dilution risk
37 (in accordance with Article 4(24) of the Banking Consolidation Directive (Definitions)) the risk that an amount receivable is reduced through cash or non-cash credits to the obligor.
capital account
As Published: 2001
capital account
(in COLL ) an account relating to the capital property of an authorised fund . 3 20…
FCA MDP on-boarding application form
As Published: 2017
FCA MDP on-boarding application form
107 a form for approval to connect to the FCA’s market data processor system .
option hedging method
As Published: 2006
option hedging method
29 the method of calculating the option PRR in BIPRU 7.6.24R (The hedging method).
drawdown mortgage
As Published: 2003
drawdown mortgage
12 a lifetime mortgage contract where: (a) the amount borrowed is paid by the mortgage lender to the customer in instalments during the life of the mortgage; and (b) the size and frequency of the inst…
technical provision
As Published: 2001
technical provision
(a) (for a firm which is not a Solvency II firm ) a technical provision established in accordance with the Insurance Company – Technical Provisions part of the PRA Rulebook. 72 65 (b) (for a Solvency…
threshold condition
As Published: 2001
threshold condition
(in relation to a regulated activity ) any of the conditions set out in or under Schedule 6 to the Act (Threshold conditions), including the additional conditions in the Financial Services and Markets…
upper tier three capital
As Published: 2006
upper tier three capital
19 an item of capital that is specified in stage O of the capital resources table (Upper tier three).
regulatory costs
As Published: 2003
regulatory costs
the periodic fees payable to the FCA 177 by a participant firm in accordance with FEES 4 (Periodic fees) 36 .
limitation
As Published: 2001
limitation
2 a limitation incorporated in a Part 4A permission 104 under section 55E(5) 104 of the Act (Giving permission): the FCA), section 55F(4) of the Act (Giving permission: the PRA) 104 or section 55J(10)…
EMIR requirements
As Published: 2013
EMIR requirements
83 requirements imposed under EMIR and any regulation made under it.
Distance Marketing Regulations
As Published: 2003
Distance Marketing Regulations
12 17 The Financial Services (Distance Marketing) Regulations 2004 (SI 2004/2095). 19…
client money resource
As Published: 2014
client money resource
166 the aggregate balance on the firm's client bank accounts (see CASS 7.16.8 R ).
employee benefit consultant
As Published: 2010
employee benefit consultant
65 a person that gives advice, or provides services to, an employer in connection with a group personal pension scheme or group stakeholder pension scheme provided, or to be provided, by the employer…
capital conservation buffer
As Published: 2014
capital conservation buffer
162 (in accordance with article 128(1) of CRD (Definitions)) the amount of common equity tier 1 capital a firm must calculate in line with IFPRU 10.2 .
statutory notice
As Published: 2001
statutory notice
a warning notice , decision notice or supervisory notice . 5…
maxi-ISA
As Published: 2001
maxi-ISA
3 an ISA which includes a stocks and shares component and may also include other qualifying investments such as: (a) a cash component ; (b) an insurance component ; as prescribed in paragraphs 7, 8 an…
simplified ILAS BIPRU firm
As Published: 2009
simplified ILAS BIPRU firm
84 an ILAS BIPRU firm that, in accordance with the procedures in BIPRU 12 (Liquidity), is using the simplified ILAS .