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waiver
As Published: 2001
waiver
a direction waiving or modifying a rule , given by the appropriate regulator 46 under section 138A of the Act (Modification or waiver of rules) or by the FCA under sections 46 250, 261L 24 or 294 of t…
Principles and Practices of Financial Management
As Published: 2003
Principles and Practices of Financial Management
10 the Principles and Practices of Financial Management, containing with-profits principles and with-profits practices , 52 which a firm carrying on with-profits business must establish, maintain and…
core market participant
As Published: 2006
core market participant
48 an entity of a type listed in BIPRU 5.4.64 R (The financial collateral comprehensive method: Conditions for applying a 0% volatility adjustment).
original financing costing amount
As Published: 2004
original financing costing amount
17 (in relation to a share , debenture or other investment in, or external contribution to the capital of, a firm that is subject to a step-up ) the financing cost amount for the instrument for a peri…
market risk capital requirement
As Published: 2006
market risk capital requirement
40 the part of the capital resources requirement of a BIPRU firm in respect of market risk , calculated in accordance with GENPRU 2.1.52R (Calculation of the market risk capital requirement).
stock financing
As Published: 2006
stock financing
45 a transaction where a physical commodity is sold forward and the cost of funding is locked in until the date of the forward sale.
MCD credit intermediary
As Published: 2015
MCD credit intermediary
99 an MCD mortgage credit intermediary or an MCD article 3(1)(b) credit intermediary . [Note: article 4(5) and (21) of the MCD ]…
cash assimilated instrument
As Published: 2006
cash assimilated instrument
48 (in accordance with Article 4(35) of the Banking Consolidation Directive (Definitions)) a certificate of deposit or other similar instrument issued by a lending firm .
reversion arranger
As Published: 2006
reversion arranger
42 a firm with permission (or which ought to have permission ) for arranging a home reversion plan .
apportionment and oversight function
As Published: 2001
apportionment and oversight function
4 FCA controlled function 183 CF8 in 150 the table of FCA controlled functions , 183 described more fully in SUP 10A.7.1 R 183 .
Prospectus Directive
As Published: 2005
Prospectus Directive
27 the Directive of the European Parliament and of the Council of 4 November 2003 on the prospectus to be published when securities are offered to the public or admitted to trading (No 2003/71/EC).
work-related insurance
As Published: 2010
work-related insurance
18 work-related insurance, including: (a) life assurance; (b) long term disability insurance (also known as permanent health insurance); and (c) accidental death, injury, critical illness, medical, de…
scientific research based company
As Published: 2005
scientific research based company
(in LR ) a company primarily involved in the laboratory research and development of chemical or biological products or processes or any other similar innovative science based company. 34…
reasonable assurance engagement
As Published: 2011
reasonable assurance engagement
164 a 'reasonable assurance engagement' as described in the Glossary of terms in Financial Reporting Council: Audit and Assurance: Standards and Guidance 2014.
MiFID RTS 28
As Published: 2017
MiFID RTS 28
118 Commission Delegated Regulation (EU) 2017/576 of 8 July 2016 supplementing MiFID with regard to regulatory technical standards for the annual publication by investment firms of information on the…