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IRB exposure class
As Published: 2006
IRB exposure class
52 (in relation to the IRB approach ) one of the classes of exposure set out in BIPRU 4.3.2 R (exposure classes).
mortgage adviser
As Published: 2003
mortgage adviser
11 12 a firm with permission (or which ought to have permission ) for advising on regulated mortgage contracts .
linked policyholders
As Published: 2007
linked policyholders
29 policyholders under a linked long-term contract.
structured deposit appointed representative
As Published: 2017
structured deposit appointed representative
161 an appointed representative that is a party to a contract with a MiFID investment firm that permits or requires it to carry on only the business of selling, or advising clients in relation to, str…
Financial Groups Directive
As Published: 2004
Financial Groups Directive
9 Directive 2002/87/EC of the European Parliament and of the Council of 16 December 2002 on the supplementary supervision of credit institutions, insurance undertakings and investment firms in a finan…
PROF Sch 3 Fees and other required payments
As Published: 2004
PROF Sch 3 Fees and other required payments
…
lower rate of return
As Published: 2007
lower rate of return
30 (in COBS ) the lower rate of return described in paragraph 2.3 of the projection rules ( COBS 13 Annex 2 ).
banking and investment services sector
As Published: 2006
banking and investment services sector
23 (in relation to a financial sector in a consolidation group or a financial conglomerate and in accordance with GENPRU 3.1 (Cross sector groups)), the investment services sector and the banking sect…
home finance activity
As Published: 2006
home finance activity
8 any home finance mediation activity , home finance providing activity or administering a home finance transaction .
excess trading book position
As Published: 2006
excess trading book position
34 has the meaning in GENPRU 2.2.264 R (Deductions from total capital: Excess trading book position).
sustainable
As Published: 2014
sustainable
122 (in CONC ) the ability of the customer to make repayments under a credit agreement in accordance with CONC 5.2A.12R 173 .
trustee
As Published: 2001
trustee
(in accordance with section 237(2) of the Act (Other definitions)) (in relation to a unit trust scheme ) the person holding the property in question on trust for the participants . 3…
hirer
As Published: 2013
hirer
32 a person to whom goods are bailed or, in Scotland, hired under a consumer hire agreement , or a person to whom the rights and duties of a hirer under a consumer hire agreement have passed by assign…
payment transaction
As Published: 2015
payment transaction
(1) (for the purposes of FEES 9 ) an action of transferring funds, initiated by the payer or on its behalf or by the payee , irrespective of any underlying obligations between the payer and the payee…
COMP 5.4 Protected contracts of insurance
As Published: 2001
COMP 5.4 Protected contracts of insurance
…
MiFID RTS 26
As Published: 2017
MiFID RTS 26
118 Commission Delegated Regulation (EU) 2017/582 of 29 June 2016 supplementing MiFIR with regard to regulatory technical standards specifying the obligation to clear derivatives traded on regulated m…