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financial derivative instrument
As Published: 2006
financial derivative instrument
(for the purposes of BIPRU ) 73 23 has the meaning in BIPRU 13.3.3 R (Definition of a financial derivative instrument); the definition is adjusted for the purposes of the definition of counterparty ri…
unlawful disclosure
As Published: 2016
unlawful disclosure
67 the behaviour described in article 10 of the Market Abuse Regulation .
resecuritisation
As Published: 2006
resecuritisation
46 in BIPRU 7 and 9 , a securitisation where the risk associated with an underlying pool of exposures is tranched and at least one of the underlying exposures is a securitisation position . 102 [Note:…
packaged retail and insurance-based investment product
As Published: 2017
packaged retail and insurance-based investment product
154 a product that is: (1) a packaged retail and insurance-based investment product within the meaning of article 4(3) of the PRIIPs Regulation ; and (2) not exempt from the application of the PRIIPs…
entering into a home finance transaction
As Published: 2006
entering into a home finance transaction
31 any of the regulated activities of entering into a regulated mortgage contract , entering into a home purchase plan , entering into a home reversion plan or entering into a regulated sale and rent…
Money Advice Service
As Published: 2011
Money Advice Service
73 the consumer financial education body ( CFEB ) originally 168 established by the FSA under section 6A(1) of the Act (Enhancing public understanding of financial matters etc) (as it had effect befor…
MAR 6.12 Execution price of client orders not matching quotation sizes [deleted]
As Published: 2009
MAR 6.12 Execution price of client orders not matching quotation sizes [deleted]
…
SUP 16 Annex 36A Close Links Annual Report
As Published: 2013
SUP 16 Annex 36A Close Links Annual Report
…
designated investment firm
As Published: 2013
designated investment firm
108 an authorised person 108 that has been designated by the PRA under article 3 of the PRA-regulated Activities Order .
debt counsellor
As Published: 2014
debt counsellor
87 a person who has, or ought to have, a Part 4A permission to carry on the regulated activity of debt counselling and who gives advice to borrowers or hirers about the liquidation of debts under cred…
RRD group financial support agreement
As Published: 2015
RRD group financial support agreement
138 an agreement to give financial support to an RRD institution which, at any time after the agreement has been concluded, has infringed an RRD early intervention condition or is likely to infringe o…
EEA SMCR banking firm
As Published: 2018
EEA SMCR banking firm
130 a firm identified as an EEA SMCR banking firm in the decision tree in SYSC 23 Annex 1 (Definition of SMCR firm and different types of SMCR firms) and Part Four of that Annex.
Supervisory Liquidity Review Process
As Published: 2009
Supervisory Liquidity Review Process
83 the appropriate regulator's 227 assessment of the adequacy of certain firms ' liquidity resources as described in BIPRU 12.2 and BIPRU 12.5.
mathematical reserves
As Published: 2001
mathematical reserves
the provision made by an insurer to cover liabilities (excluding liabilities which have fallen due and liabilities arising from deposit back arrangements ) arising under or in connection with long-ter…
UK ISPV
As Published: 2006
UK ISPV
18 an ISPV with a Part 4A permission 97 to carry on the activity of insurance risk transformation 74 .
chief executive function
As Published: 2001
chief executive function
197 FCA controlled function CF3 in 227 the table of FCA controlled functions , described more fully in SUP 10A.6.17 R .
authorised professional firm
As Published: 2001
authorised professional firm
4 a professional firm which is an authorised person .
mesothelioma regulations
As Published: 2006
mesothelioma regulations
41 The Compensation Act 2006 (Contribution for Mesothelioma Claims) Regulations 2006 (SI 2006/3259).
convertible
As Published: 2006
convertible
(for the purposes of BIPRU and IFPRU ) a security which gives the investor the right to convert the security into a share at an agreed price or on an agreed basis.