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innovative tier one capital
As Published: 2004
innovative tier one capital
32 an item of capital that is stated in GENPRU 2.2 (Capital resources) 52 to be innovative tier one capital.
SRB administrator
As Published: 2009
SRB administrator
78 a firm which carries on the regulated activity of administering a regulated sale and rent back agreement .
security-based CTF
As Published: 2007
security-based CTF
61 a CTF , other than a stakeholder CTF , which is not limited to deposit based investment.
pensions guidance
As Published: 2015
pensions guidance
130 the guidance made available by the Secretary of State 142 in accordance with section 333B of the Act .
subsisting rights
As Published: 2015
subsisting rights
135 has the meaning given in section 76 of the Pension Schemes Act 2015 which is: (a) for a member of a pension scheme : (i) any right which has accrued to or in respect of the member to future benefi…
high net worth mortgage customer
As Published: 2012
high net worth mortgage customer
28 a customer with an annual net income of no less than £300,000 or net assets of no less than £3,000,000, or whose obligations are guaranteed by a person with an income or assets of such amount.
AIF custodial assets
As Published: 2013
AIF custodial assets
101 financial instruments of an AIF that can be: (a) registered in a financial instruments account opened in the depositary's books; or (b) physically delivered to the depositary . [Note: recital 100…
delivery by value
As Published: 2001
delivery by value
a transaction type, described as "delivery by value", used to deliver and receive securities within CREST . 3…
Fourth Company Law Directive
As Published: 2008
Fourth Company Law Directive
34 Council Directive 78/660/EEC on the annual accounts of certain types of companies as amended by, amongst other instruments, Directive 2006/46/EC of the European Parliament and of the Council of 14…
dormant account
As Published: 2009
dormant account
52 51 has the meaning given in section 10 of the Dormant Bank and Building Society Accounts Act 2008, which is in summary an account that at a particular point in time: (a) has been open throughout th…
SYSC Sch 3 Fees and other required payments
As Published: 2004
SYSC Sch 3 Fees and other required payments
…
scheme particulars
As Published: 2001
scheme particulars
a document containing information about a regulated collective investment scheme . 5…
exempt MCD regulated mortgage contract
As Published: 2015
exempt MCD regulated mortgage contract
102 a regulated mortgage contract that is: (a) an MCD exempt bridging loan ; (b) an MCD exempt credit union loan ; (c) an MCD exempt overdraft loan ; or (d) an MCD exempt lifetime mortgage .
pension transfer specialist
As Published: 2001
pension transfer specialist
an individual who: 166 (1) has passed the required examinations as specified in TC ; and 166 (2) is employed by a firm to give advice on pension transfers, pension conversions and pension opt-outs or…
MLR person
As Published: 2017
MLR person
122 a person that is registered under the Money Laundering Regulations .
qualifying social entrepreneurship fund
As Published: 2013
qualifying social entrepreneurship fund
21 has the meaning given in article 3(b) of the EuSEF regulation .
synthetic cash
As Published: 2001
synthetic cash
a position in a derivative that offsets an exposure in property to the point where that exposure has effectively been neutralised, and the effect of the combined holding of both property and the posit…
third country competent authority
As Published: 2006
third country competent authority
26 a regulatory body of a state or territory that is not an EEA State .