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electronic commerce activity direction
As Published: 2002
electronic commerce activity direction
a direction made, or proposed to be made, by the FCA 167 under regulation 6 of the ECD Regulations . 6…
write-down and conversion powers
As Published: 2015
write-down and conversion powers
26 the powers referred to in article 59(2) and in points (e) to (i) of article 63(1) of RRD . [Note: articles 2(1)(66) of RRD ]…
equity exposure
As Published: 2006
equity exposure
34 (in relation to the IRB approach ) an exposure falling into the IRB exposure class referred to in BIPRU 4.3.2 R (5) (equity exposures).
multilateral system
As Published: 2017
multilateral system
118 any system or facility in which multiple third-party buying and selling trading interests in financial instruments are able to interact in the system. [Note: article 4(1)(19) of MiFID ]…
incoming firm
As Published: 2001
incoming firm
(in accordance with section 193(1) of the Act (Interpretation of this Part)) an incoming EEA firm or an incoming Treaty firm . 5…
sickness or distressed circumstances contract
As Published: 2001
sickness or distressed circumstances contract
any contract in accordance with which benefits are provided for the relief or maintenance of any person during sickness or when in distressed circumstances. 5…
cancellation
As Published: 2001
cancellation
141 (in COLL ) (in relation to units ) a cancellation of a unit by: (a) an ICVC ; or (b) the trustee of an AUT ; or (c) the depositary of an ACS .
placing
As Published: 2005
placing
(in LR ) a marketing of securities already in issue but not listed or not yet in issue, to specified persons or clients of the sponsor or any securities house assisting in the placing, which does not…
CONRED 2 Annex 6 Redress determination where firm considers opt-in ineffective
As Published: 2013
CONRED 2 Annex 6 Redress determination where firm considers opt-in ineffective
…
natural gas
As Published: 2001
natural gas
(a) natural gas in any form, including natural gas as deliverable through the Network Code ; and (b) any right that relates to natural gas, for example the right under a contract or otherwise to requi…
total count method
As Published: 2014
total count method
61 a method for performing a physical asset reconciliation , as described in CASS 6.6.27 R .
systemic risk
As Published: 2013
systemic risk
120 a risk of disruption in the financial system with the potential to have serious negative consequences for the financial system and the real economy.
stakeholder pension scheme
As Published: 2001
stakeholder pension scheme
(in accordance with article 3 of the Regulated Activities Order ) 158 a scheme that meets the conditions in section 1 of the Welfare Reform and Pensions Act 1999 or article 3 of the Welfare Reform and…
above-threshold non-EEA AIFM
As Published: 2013
above-threshold non-EEA AIFM
a non-EEA AIFM that is not a small AIFM .
general application rule
As Published: 2007
general application rule
22 COBS 1.1.1 R (which in summary provides that COBS applies to a firm with respect to certain activities carried on from an establishment maintained by it in the United Kingdom ).
additional tier 1 instrument
As Published: 2013
additional tier 1 instrument
105 a capital instrument that qualifies as an additional tier 1 capital instrument under article 52 of the EU CRR .
lifetime ISA government bonus
As Published: 2017
lifetime ISA government bonus
72 has the meaning given to “government bonus” in paragraph 1 of the Schedule to the ISA Regulations .
MiFID business
As Published: 2006
MiFID business
39 investment services and activities and, where relevant, ancillary services carried on by a MiFID investment firm .
equity stake
As Published: 2001
equity stake
(in relation to a company ) any kind of equity stake in that company , including shares in it (including non-voting and non-equity shares , debt securities that are convertible or exchangeable into su…
Code of Practice for Approved Persons
As Published: 2001
Code of Practice for Approved Persons
197 the guidance 182 in APER 3 and APER 4 . 182…