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CBTL consumer
As Published: 2016
CBTL consumer
179 (in relation to a buy-to-let credit agreement ) (a) a person acting for purposes which are outside that person's trade, business or profession; or (b) a borrower under a CBTL credit agreement .
EMIR indirect clearing RTS
As Published: 2017
EMIR indirect clearing RTS
124 Commission Delegated Regulation (EU) No 2017/2155 of 22 September 2017 amending Commission Delegated Regulation (EU) No 149/2013 with regard to regulatory technical standards on indirect clearing…
innovative finance ISA business
As Published: 2016
innovative finance ISA business
142 a firm's activities, in its capacity as an ISA manager , in connection with an ISA which contains only an innovative finance component and is not designated investment business .
lower tier two capital
As Published: 2002
lower tier two capital
(1) 13 42 107 [deleted] 42 107 (2) (in 22 BIPRU , GENPRU and INSPRU 22 ) an item of capital that is specified in stage H of the capital resources table (Lower tier two capital) 22 . 13…
stock lending
As Published: 2001
stock lending
the disposal of a designated investment subject to an obligation or right to reacquire the same or a similar designated investment from the same counterparty. 5…
asset pool
As Published: 2008
asset pool
61 (in RCB ) (as defined in Regulation 1(2) of the RCB Regulations ) an asset pool within the meaning of Regulation 3 of the RCB Regulations .
headline information
As Published: 2014
headline information
35 the headline codes and headline categories for use with the announcement of regulated information that are listed in DTR 8 Annex 2 .
Regulatory Decisions Committee
As Published: 2001
Regulatory Decisions Committee
a committee of the Board of the FCA , 228 described in DEPP 3.1 (The nature and procedure of the RDC) 58 .
venture capital firm
As Published: 2001
venture capital firm
a firm whose permission includes a requirement that it must not conduct designated investment business other than venture capital business . 1…
financial analyst
As Published: 2007
financial analyst
25 a relevant person who produces the substance of investment research . [Note: article 2(1) of the MiFID Org Regulation 107 ]…
non-discretionary investment manager
As Published: 2004
non-discretionary investment manager
( 37 in relation to firm type in SUP 16.10 (Confirmation of firm details 76 )) a person who, acting only on behalf of a client , manages designated investments in an account or portfolio on a non-disc…
MAR 5.8 Provisions common to pre- and post-trade transparency requirements for shares [deleted]
As Published: 2007
MAR 5.8 Provisions common to pre- and post-trade transparency requirements for shares [deleted]
…
asset identification rules
As Published: 2001
asset identification rules
4 rules made by the appropriate regulator 184 which require an authorised person who has permission to effecting or carry out contracts of insurance to identify assets which belong to him and which ar…
FCA-designated senior management function
As Published: 2015
FCA-designated senior management function
83 an FCA controlled function that is a designated senior management function .
FOS ADR levy
As Published: 2015
FOS ADR levy
86 the amount payable to the FCA by FOS Ltd to which FEES 12 (FOS ADR levy) applies.
net leverage
As Published: 2004
net leverage
13 the ratio of total assets, less those bought under reverse repo arrangements, to total equity.
ultimate EEA mixed financial holding company
As Published: 2013
ultimate EEA mixed financial holding company
49 a mixed financial holding company which has its head office in an EEA State and which is not itself the subsidiary undertaking of another mixed financial holding company , insurance parent undertak…
UK Securitisation Regulations
As Published: 2019
UK Securitisation Regulations
82 the Financial Services and Markets Act 2000 (Securitisation) Regulations 2018 (SI 2018/1288).