Search Result
data element
As Published: 2006
data element
A discrete fact or individual piece of information relating to a particular field within a data item required to be submitted to the appropriate regulator 158 by a firm or other regulated entity. 35…
modified CIU look through method
As Published: 2006
modified CIU look through method
40 the method for calculating PRR for a CIU set out in BIPRU 7.7.4 R , BIPRU 7.7.7 R to BIPRU 7.7.8 R and BIPRU 7.7.11 R to BIPRU 7.7.12 R…
whole-firm liquidity modification
As Published: 2009
whole-firm liquidity modification
17 a modification to the overall liquidity adequacy rule of the kind described in BIPRU 12.8.22G.
reportable financial instrument
As Published: 2017
reportable financial instrument
172 in SUP 17A , those financial instruments in article 26(2) of MiFIR , namely: (a) financial instruments which are admitted to trading or are traded on a trading venue for which a request for admiss…
synthetic risk and reward indicator
As Published: 2011
synthetic risk and reward indicator
103 (in COLL and in accordance with article 2(2) of the UCITS implementing Directive No 2 ) a synthetic indicator within the meaning of article 8 of the KII Regulation .
MCD mortgage administrator
As Published: 2015
MCD mortgage administrator
99 (in MCOB 7A MCOB 7A and MCOB 14) a mortgage administrator who administers MCD regulated mortgage contracts .
third-country banking and investment group
As Published: 2004
third-country banking and investment group
13 a banking and investment group that meets the following conditions: (a) it is headed by: (i) a credit institution ; or (ii) an asset management company ; or (iii) an investment firm ; or (iv) a fin…
IPID information
As Published: 2018
IPID information
160 (in ICOBS ) the IDD information to be included in the IPID as required by ICOBS 6 Annex 3R , paragraph 2.1R.
collective portfolio management firm
As Published: 2013
collective portfolio management firm
143 a firm which: (a) (i) is a full-scope UK AIFM ; and (ii) does not have a Part 4A permission to carry on any regulated activities other than those in connection with, or for the purpose of, managin…
PRA-authorised person
As Published: 2013
PRA-authorised person
225 as defined in section 2B(5) of the Act , an authorised person who has permission: (a) given under Part 4A of the Act ; or (b) resulting from any other provision of the Act ; to carry on regulated…
MAR 7 Annex 1 Deferred publication thresholds and delays [deleted]
As Published: 2017
MAR 7 Annex 1 Deferred publication thresholds and delays [deleted]
…
minimum levy
As Published: 2001
minimum levy
(in FEES 31 ) the fixed minimum general levy payable by a firm . 3…
protection buyer
As Published: 2006
protection buyer
43 (in BIPRU ) 115 (in relation to a credit derivative and in accordance with paragraph 8 of Annex I of the Capital Adequacy Directive (Calculating capital requirements for position risk)) the person…
resecuritisation position
As Published: 2011
resecuritisation position
102 in BIPRU 7 and 9 , an exposure to a resecuritisation . [Note: BCD , Article 4(40b)]…
MiFID RTS 13
As Published: 2017
MiFID RTS 13
118 Commission Delegated Regulation (EU) No 2017/571 of 2 June 2016 supplementing MiFID with regard to regulatory technical standards on the authorisation, organisational requirements and the publicat…
EuVECA
As Published: 2014
EuVECA
95 a qualifying venture capital fund (as defined in the EuVECA regulation ).
operator acting as a PSR fee payer
As Published: 2018
operator acting as a PSR fee payer
94 an operator of a card payment system or an IFR card payment system acting as an acquirer , as a card issuer or as both an acquirer and card issuer in that payment system .
in default
As Published: 2001
in default
the status of being in default following a determination made under COMP 6.3.1 R . 5…