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MiFID RTS 9
As Published: 2017
MiFID RTS 9
118 Commission Delegated Regulation (EU) No No 2017/566 of 18 May 2016 supplementing MiFID with regard to regulatory technical standards on the ratio of unexecuted orders to transactions.
net margined omnibus client account
As Published: 2014
net margined omnibus client account
56 an omnibus client account maintained by a clearing member firm in respect of which the margining arrangements give rise to a gross-minus-net amount which is held by the clearing member firm as clie…
SDL
As Published: 2010
SDL
90 (in BSOCS ) the total of share and deposit liabilities, excluding amounts that qualify as own funds but including accrued interest not yet payable.
Glossary
As Published: 2001
Glossary
the Glossary giving the meanings of the defined expressions used in the Handbook . 4…
lower stage of capital
As Published: 2006
lower stage of capital
22 (with respect to a particular item of capital in the capital resources table ) a stage in the capital resources table below that in which that item of capital appears.
small registered UK AIFM
As Published: 2013
small registered UK AIFM
118 a small AIFM that is registered by the FCA in accordance with regulation 10 of the AIFMD UK regulation .
trading book policy statement
As Published: 2006
trading book policy statement
56 (1) (in BIPRU ) has the meaning in BIPRU 1.2.29R (Trading book policy statements) which is in summary a single document of a person recording the policies and procedures referred to in BIPRU 1.2.26…
EEA Passport Rights Regulations
As Published: 2001
EEA Passport Rights Regulations
the Financial Services and Markets Act 2000 (EEA Passport Rights) Regulations 2001 (SI 2001/2511). 1…
biomass collective investment scheme
As Published: 2008
biomass collective investment scheme
29 a collective investment scheme , the property of which consists only of property which is biomass or a biomass investment or cash awaiting investment.
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…