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relevant omission
As Published: 2016
relevant omission
163 where the insurance intermediary has failed to: (a) pay monies to an insurer ; or (b) pay monies that it has received from an insurer ; or (c) take steps to cause a contract of insurance to be eff…
capital planning buffer
As Published: 2010
capital planning buffer
(in BIPRU 2.2 or IFPRU 2) the amount and quality of capital resources that a firm should hold at a given time in accordance with the general stress and scenario testing rule , so that the firm is able…
ring-fencing
As Published: 2016
ring-fencing
165 the UK ring-fencing regime as provided for in the Act , including any statutory instruments and related FCA rules .
protected claim
As Published: 2001
protected claim
5 a claim which is covered by the compensation scheme , as defined in COMP 5.2.1 R .
CRD financial instrument
As Published: 2006
CRD financial instrument
48 has the meaning set out in BIPRU 1.2.7 R to BIPRU 1.2.8 R (CRD financial instruments), which is in summary any contract that gives rise to both a financial asset of one party and a financial liabil…
trustee firm
As Published: 2001
trustee firm
61 a firm which is not an OPS firm and which is acting as a: (a) trustee (other than for a trust of client money arising only under CASS 5.3.2 R , CASS 5.4 (Non-statutory client money trust), CASS 7.1…
expiration date
As Published: 2005
expiration date
(in LR ) (in relation to securitised derivatives ), the date stipulated by the issuer on which the holder's rights in respect of the securitised derivative ends. 26…
MiFID RTS 6
As Published: 2017
MiFID RTS 6
118 Commission Delegated Regulation (EU) No 2017/589 of 19 July 2016 supplementing MiFID with regard to regulatory technical standards specifying the organisational requirements of investment firms en…
data set
As Published: 2006
data set
One or more data items relating to the same regulated activity . 35…
capital instrument
As Published: 2006
capital instrument
48 (in COBS , 172 GENPRU and 172 BIPRU and in relation to an undertaking ) any security issued by or loan made to that undertaking or any other investment in, or external contribution to the capital o…
Electing Participants Order
As Published: 2001
Electing Participants Order
the Financial Services and Markets Act 2000 (Compensation Scheme: Electing Participants) Regulations 2001 (SI 2001/1783). 3…
CCR standardised method
As Published: 2006
CCR standardised method
48 the method of calculating the amount of an exposure set out in BIPRU 13.5 (CCR standardised method).
dual-regulated firm
As Published: 2015
dual-regulated firm
96 (in SYSC 19D ) a firm that is UK bank 111 , a building society or a UK designated investment firm .
Stakeholder Regulations
As Published: 2004
Stakeholder Regulations
27 the Financial Services and Markets Act 2000 (Stakeholder Products) Regulations 2004 (SI 2004/2738).
settlement price
As Published: 2005
settlement price
(in LR ) (in relation to securitised derivatives ), the reference price or prices of the underlying instrument or instruments stipulated by the issuer for the purposes of calculating its obligations t…