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CRD financial instrument
As Published: 2006
CRD financial instrument
48 has the meaning set out in BIPRU 1.2.7 R to BIPRU 1.2.8 R (CRD financial instruments), which is in summary any contract that gives rise to both a financial asset of one party and a financial liabil…
trustee firm
As Published: 2001
trustee firm
61 a firm which is not an OPS firm and which is acting as a: (a) trustee (other than for a trust of client money arising only under CASS 5.3.2 R , CASS 5.4 (Non-statutory client money trust), CASS 7.1…
expiration date
As Published: 2005
expiration date
(in LR ) (in relation to securitised derivatives ), the date stipulated by the issuer on which the holder's rights in respect of the securitised derivative ends. 26…
probable reserves
As Published: 2005
probable reserves
(in LR ): (a) in respect of mineral companies primarily involved in the extraction of oil and gas resources, those reserves which are not yet proven but which, on the available evidence and taking int…
MiFID RTS 6
As Published: 2017
MiFID RTS 6
118 Commission Delegated Regulation (EU) No 2017/589 of 19 July 2016 supplementing MiFID with regard to regulatory technical standards specifying the organisational requirements of investment firms en…
data set
As Published: 2006
data set
One or more data items relating to the same regulated activity . 35…
capital instrument
As Published: 2006
capital instrument
48 (in COBS , 172 GENPRU and 172 BIPRU and in relation to an undertaking ) any security issued by or loan made to that undertaking or any other investment in, or external contribution to the capital o…
Electing Participants Order
As Published: 2001
Electing Participants Order
the Financial Services and Markets Act 2000 (Compensation Scheme: Electing Participants) Regulations 2001 (SI 2001/1783). 3…
CCR standardised method
As Published: 2006
CCR standardised method
48 the method of calculating the amount of an exposure set out in BIPRU 13.5 (CCR standardised method).
dual-regulated firm
As Published: 2015
dual-regulated firm
96 (in SYSC 19D ) a firm that is UK bank 111 , a building society or a UK designated investment firm .
FCA-recognised industry code
As Published: 2018
FCA-recognised industry code
120 A market code prepared by a private person that prescribes or prohibits forms of conduct or behaviour in relation to activities in financial markets, recognised by the FCA under its industry code…
Stakeholder Regulations
As Published: 2004
Stakeholder Regulations
27 the Financial Services and Markets Act 2000 (Stakeholder Products) Regulations 2004 (SI 2004/2738).
settlement price
As Published: 2005
settlement price
(in LR ) (in relation to securitised derivatives ), the reference price or prices of the underlying instrument or instruments stipulated by the issuer for the purposes of calculating its obligations t…
notional principal
As Published: 2001
notional principal
(a) (in relation to a contract for differences which is an index derivative ): (i) the current mark to market valuation of a contract for differences which resembles a futures contract; or (ii) the ex…
extraordinary public financial support
As Published: 2015
extraordinary public financial support
99 State aid within article 107(1) of the Treaty , or any other public financial support at supra-national level, which, if given at national level, would constitute state aid that is given to preserv…