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client money requirement
As Published: 2014
client money requirement
166 the total amount of client money a firm is required to have segregated in client bank accounts under the client money rules (see CASS 7.16.10 R ).
operating an electronic system in relation to non-P2P agreements
As Published: 2016
operating an electronic system in relation to non-P2P agreements
81 the unregulated activity , carried on by a person who has Part 4A permission to operate an electronic system in relation to lending , of carrying on the activity described in article 36H of the Reg…
CTF provider
As Published: 2004
CTF provider
24 (in accordance with section 3(1) of the Child Trust Funds Act 2004) a person approved by HM Revenue and Customs 30 in accordance with the CTF Regulations .
establishing, operating or winding up a collective investment scheme
As Published: 2001
establishing, operating or winding up a collective investment scheme
the regulated activity , specified in article or 51ZE 82 of the Regulated Activities Order (Establishing etc a collective investment scheme), of establishing, operating or winding up a collective inve…
Solvency II Directive information
As Published: 2015
Solvency II Directive information
131 (in COBS ) Solvency II Directive information as required in COBS 13 Annex 1 .
ABCP programme
As Published: 2006
ABCP programme
37 (for the purposes of BIPRU 9 (Securitisation)) an asset backed commercial paper programme .
reporting level
As Published: 2009
reporting level
82 (in SUP 16 (Reporting requirements) and in relation to a data item ) refers to whether that data item is prepared on a solo basis or on the basis of a group such as a UK DLG by modification and, if…
lifetime ISA business
As Published: 2017
lifetime ISA business
72 a firm's activities, in its capacity as an ISA manager , in connection with a lifetime ISA which is not either or both MiFID business and designated investment business .
mineral resources
As Published: 2005
mineral resources
(in LR ) include metallic and non-metallic ores, mineral concentrates, industrial minerals, construction aggregates, mineral oils, natural gases, hydrocarbons and solid fuels including coal. 28…
prescribed pricing basis
As Published: 2001
prescribed pricing basis
5 (in relation to a derivative contract, or quasi-derivative contract ), the pricing basis set out in IPRU(INS) 4.12R(8) (Derivative contracts) as that rule was in force on 30 December 2004 25 .
incoming EEA AIFM
As Published: 2013
incoming EEA AIFM
114 an incoming EEA firm which is an AIFM and exercising its rights under AIFMD .
MiFID RTS 8
As Published: 2017
MiFID RTS 8
118 Commission Delegated Regulation (EU) 2017/578 of 13 June 2016 supplementing MiFID with regard to regulatory technical standards specifying the requirements on market making agreements and schemes.
large company
As Published: 2001
large company
a body corporate which does not qualify as a small company under section 247 of the Companies Act 1985 2 , or section 382 of the Companies Act 2006 as applicable. 33…
defined benefit scheme
As Published: 2007
defined benefit scheme
41 in relation to a director , means a pension scheme which is not a money purchase scheme .
unrecognised scheme
As Published: 2005
unrecognised scheme
(in LR ) a collective investment scheme which is neither a recognised scheme nor a scheme that is constituted as an authorised unit trust scheme or authorised contractual scheme 47 . 12…
interim income allocation date
As Published: 2001
interim income allocation date
any date specified in the prospectus of an authorised fund as the date on or before which an allocation of income will be made. 5…
EEA commodities market
As Published: 2003
EEA commodities market
a market that facilitates trading in derivatives relating to commodities (other than a market operated by an RIE ) and which is operated by an entity that has its head office situated in the EEA and t…
Ombudsman Transitional Order
As Published: 2004
Ombudsman Transitional Order
the Financial Services and Markets Act 2000 (Transitional Provisions) (Ombudsman Scheme and Complaints Scheme) Order 2001 (SI 2001/2326).