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Prospectus Directive
As Published: 2005
Prospectus Directive
27 the Directive of the European Parliament and of the Council of 4 November 2003 on the prospectus to be published when securities are offered to the public or admitted to trading (No 2003/71/EC).
work-related insurance
As Published: 2010
work-related insurance
18 work-related insurance, including: (a) life assurance; (b) long term disability insurance (also known as permanent health insurance); and (c) accidental death, injury, critical illness, medical, de…
scientific research based company
As Published: 2005
scientific research based company
(in LR ) a company primarily involved in the laboratory research and development of chemical or biological products or processes or any other similar innovative science based company. 34…
reasonable assurance engagement
As Published: 2011
reasonable assurance engagement
164 a 'reasonable assurance engagement' as described in the Glossary of terms in Financial Reporting Council: Audit and Assurance: Standards and Guidance 2014.
MiFID RTS 28
As Published: 2017
MiFID RTS 28
118 Commission Delegated Regulation (EU) 2017/576 of 8 July 2016 supplementing MiFID with regard to regulatory technical standards for the annual publication by investment firms of information on the…
third country issuer
As Published: 2007
third country issuer
29 an issuer which does not have its registered office in the EEA . 40 [Note: article 2(4) of the MiFID Regulation ]…
PIA Ombudsman scheme
As Published: 2001
PIA Ombudsman scheme
5 the former scheme set up by PIA under the Financial Services Act 1986 and operated by the PIA Ombudsman Bureau Ltd to handle complaints against members of PIA .
Third Non-Life Directive
As Published: 2001
Third Non-Life Directive
the Council Directive of 18 June 1992 on the coordination of laws, etc, and amending Directives 73/239/EEC and 88/357/EEC (No 92/49/EEC). 3…
reinsurance to close
As Published: 2001
reinsurance to close
(a) an agreement under which members of a syndicate in one syndicate year ("the reinsured members") agree with the members of that syndicate in a later syndicate year or the members of another syndica…
unrated position
As Published: 2006
unrated position
19 (for the purposes of BIPRU 9 (Securitisation), in accordance with Part 1 of Annex IX of the Banking Consolidation Directive (Securitisation definitions) and in relation to a securitisation position…
IDD POG Regulation
As Published: 2018
IDD POG Regulation
160 Commission Delegated Regulation (EU) 2017/2358 of 21 September 2017, supplementing the IDD of the European Parliament and of the Council with regard to product oversight and governance requirement…
IRB permission
As Published: 2006
IRB permission
126 an Article 129 implementing measure , a requirement or a waiver that requires a BIPRU firm or a CAD investment firm to use the IRB approach .
regulated clearing arrangement
As Published: 2013
regulated clearing arrangement
124 as the context requires, either: (a) an arrangement under which a firm directly places client money in a client transaction account that is an individual client account or an omnibus client accoun…
proprietary trader
As Published: 2009
proprietary trader
74 (in SYSC 5.2 (Certification regime), SUP 10A (FCA 138 Approved Persons), COCON 138 and APER ) a person (A) whose responsibilities include committing another person (B) as part of B's proprietary tr…
Distance Marketing Directive
As Published: 2003
Distance Marketing Directive
12 14 17 The Directive of the Council and Parliament of 23 September 2002 on distance marketing of consumer financial services (No 2002/65/EC).
pension annuity
As Published: 2001
pension annuity
means a policy which is a contract to pay an annuity on human life purchased by a retail client (wholly or partially) out of the funds of an occupational pension scheme , a personal pension scheme or…