Search Result
regulated payment system
As Published: 2015
regulated payment system
140 a payment system designated by HM Treasury under section 43 of FSBRA .
pawnee
As Published: 2014
pawnee
116 a person who takes any article in pawn and includes any person to whom the rights and duties of the original pawnee have passed by assignment or operation of law.
injured party
As Published: 2002
injured party
(in ICOBS 70 ) 28 a resident of the EEA entitled to compensation in respect of any loss or injury caused by vehicles . 61 [Note: article 1(2) of Directive 72/166/EC (First Motor Insurance Directive)]…
EEA registered account information service provider
As Published: 2018
EEA registered account information service provider
121 (in accordance with regulation 2(1) of the Payment Services Regulations ) a person that is registered as an account information services provider in an EEA State other than the United Kingdom unde…
UK domestic firm
As Published: 2001
UK domestic firm
a firm that has its registered office (or, if it has no registered office, its head office) in the United Kingdom . 2…
one-off promotion
As Published: 2014
one-off promotion
115 a communication meeting the requirements set out in articles 15 or 15A of the Promotion of Collective Investment Schemes Order or in articles 28 or 28A of the Financial Promotions Order.
non-profit insurance business
As Published: 2004
non-profit insurance business
13 the business of effecting or carrying out non-profit insurance contracts.
non-executive director
As Published: 2001
non-executive director
a director who has no responsibility for implementing the decisions or the policies of the governing body of a firm . 2…
premiums amount
As Published: 2004
premiums amount
25 (for the purposes of 43 INSPRU 1.1 43 ), an amount, as defined in 43 INSPRU 1.1.45R 43 , used in the calculation of the general insurance capital requirement .
EEA UCITS scheme
As Published: 2011
EEA UCITS scheme
69 a collective investment scheme established in accordance with the UCITS Directive in an EEA State other than the United Kingdom .
MCD contingent liability or guarantee
As Published: 2015
MCD contingent liability or guarantee
99 an MCD credit agreement which acts as a guarantee to another separate, but ancillary, transaction and where the capital secured against an immovable property is only drawn down if an event specifie…
market abuse
As Published: 2005
market abuse
77 (1) behaviour prohibited by: 110 (a) articles 14 and 15 of the Market Abuse Regulation ; or 110 (b) articles 38 to 41 113 of 110 the auction regulation 113 .
corporate member
As Published: 2004
corporate member
18 a member that is a body corporate or a Scottish Limited partnership.
Electronic Money Directive
As Published: 2011
Electronic Money Directive
71 171 Directive 2009/110/EC of the European Parliament and of the Council of 16th September 2009 on the taking up, pursuit and prudential supervision of the business of electronic money institutions,…
conventional group
As Published: 2004
conventional group
22 a group of undertakings that consists of a parent undertaking and the rest of its sub-group .
portfolio management
As Published: 2007
portfolio management
46 managing portfolios in accordance with mandates given by clients on a discretionary client -by- client basis where such portfolios include one or more financial instruments . [Note: article 4(1)(8)…
exempt IFPRU commodities firm
As Published: 2013
exempt IFPRU commodities firm
89 an IFPRU investment firm which falls within the meaning in articles 493(1) and 498(1) of the EU CRR .