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intermediate rate of return
As Published: 2007
intermediate rate of return
68 (in COBS ) the intermediate rate of return described in paragraph 2.3 of the projection rules ( COBS 13 Annex 2 ).
banking and investment services conglomerate
As Published: 2006
banking and investment services conglomerate
23 a financial conglomerate that is identified in paragraph 4.3 of GENPRU 3 Annex 1 (Types of financial conglomerate) as a banking and investment services conglomerate .
vendor consideration placing
As Published: 2005
vendor consideration placing
(in LR ) a marketing, by or on behalf of vendors, of securities that have been allotted as consideration for an acquisition. 6…
EEA account
As Published: 2016
EEA account
116 has the same meaning as in article 2(3) of the Financial Services and Markets Act 2000 (Ring-fenced Bodies and Core Activities) Order 2014 (2014 No. 1960) http://www.legislation.gov.uk/uksi/2014/1…
equity release transaction
As Published: 2006
equity release transaction
31 a lifetime mortgage or a home reversion plan .
excess spread
As Published: 2006
excess spread
34 (for the purposes of BIPRU 9 (Securitisation), in relation to a securitisation (within the meaning of paragraph (2) of the definition of securitisation) and in accordance with Part 1 of Annex IX of…
SUP 16 Annex 35A Close Links Monthly Report
As Published: 2013
SUP 16 Annex 35A Close Links Monthly Report
…
CONRED 2 Annex 8 Initial letter requesting information/enclosing questionnaire
As Published: 2013
CONRED 2 Annex 8 Initial letter requesting information/enclosing questionnaire
…
MiFID RTS 10
As Published: 2017
MiFID RTS 10
118 Commission Delegated Regulation (EU) 2017/573 of 6 June 2016 supplementing MiFID with regard to regulatory technical standards on requirements to ensure fair and non-discriminatory co-location and…
stocks and shares component
As Published: 2001
stocks and shares component
a qualifying investment as prescribed in paragraph 7 of the ISA Regulations . 5…
FCA candidate
As Published: 2013
FCA candidate
149 a person in respect of whom an application is made for approval under section 59 of the Act (Approval for particular arrangements) of the performance of an FCA controlled function .
accountable higher management function
As Published: 2015
accountable higher management function
123 (in APER ) any accountable function that is: (a) 125 an FCA controlled function that is a significant-influence function 125 ; or (b) 125 a PRA controlled function .
article 3(1)(b) credit agreement
As Published: 2015
article 3(1)(b) credit agreement
118 a credit agreement : (a) under which the person to whom the credit is provided is a consumer , (b) the purpose of which is to acquire or retain property rights in land or in an existing or project…
regulated sale and rent back mediation activity
As Published: 2009
regulated sale and rent back mediation activity
76 any of the following regulated activities : (a) arranging (bringing about) regulated sale and rent back agreements (article 25E(1)); (b) making arrangements with a view to regulated sale and rent b…
CCR internal model method permission
As Published: 2006
CCR internal model method permission
156 an Article 129 implementing measure , Article 129 permission , a requirement or a waiver that requires a BIPRU firm or a CAD investment firm to use the CCR internal model method…
home finance providing activity
As Published: 2006
home finance providing activity
8 any of the regulated activities of: (a) entering into a regulated mortgage contract ; (aa) entering into a regulated sale and rent back agreement ; 19 (b) entering into a home purchase plan ; (c) en…
SRB intermediary
As Published: 2010
SRB intermediary
89 a firm with permission (or which ought to have permission ) to carry on a regulated sale and rent back mediation activity .
investment advice
As Published: 2017
investment advice
150 the provision of personal recommendations to a client , either upon the client’s request or at the initiative of the firm , in respect of one or more transactions relating to designated investment…
over the counter
As Published: 2001
over the counter
(in relation to a transaction in an investment ) not on-exchange . 4…