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constable
As Published: 2001
constable
a police officer in the United Kingdom or a person commissioned by the Commissioners for HM Revenue and Customs. 30…
third-country competent authority
As Published: 2004
third-country competent authority
13 the authority of a country or territory which is not an EEA State that is empowered by law or regulation to supervise (whether on an individual or group-wide basis) regulated entities .
CIU look through method
As Published: 2006
CIU look through method
48 one of the standard CIU look through method or the modified CIU look through method .
regulated benchmark administrator
As Published: 2018
regulated benchmark administrator
185 a person who has a Part 4A permission to carry on the regulated activity of administering a benchmark .
NURS-KII document
As Published: 2017
NURS-KII document
72 a document prepared for a retail client in a non-UCITS retail scheme which contains the key investor information required by COLL 4.7.2R (Key investor information).
holding company
As Published: 2001
holding company
(as defined in section 1159(1) 16 of the Companies Act 2006 (Meaning of "subsidiary" etc) 16 (in relation to another body corporate ("S")) a body corporate which: (a) holds a majority of the voting ri…
external AIFM
As Published: 2013
external AIFM
85 (in accordance with regulation 4(3)(a) of the AIFMD UK regulation ) an AIFM appointed by, or on behalf of, an AIF and which, through that appointment, is responsible for managing the AIF .
advising on a home finance transaction
As Published: 2006
advising on a home finance transaction
32 any of the regulated activities of advising on regulated mortgage contracts , advising on a home purchase plan , advising on a home reversion plan or advising on a regulated sale and rent back agre…
admission or admission to listing
As Published: 2005
admission or admission to listing
(in LR ) admission of securities to the official list . 23…
protection seller
As Published: 2006
protection seller
(in BIPRU ) 115 43 43 (in relation to a credit derivative and in accordance with paragraph 8 of Annex I of the Capital Adequacy Directive (Calculating capital requirements for position risk)) the pers…
SUP 16 Annex 39A Consumer buy-to-let return
As Published: 2016
SUP 16 Annex 39A Consumer buy-to-let return
…
advanced prudential calculation approach permission
As Published: 2006
advanced prudential calculation approach permission
37 one of the following: (a) an IRB permission ; or (b) an AMA permission ; or (c) a VaR model permission ; or (d) a CAD 1 model waiver ; or (e) a master netting agreement internal models approach per…
specialist securitised derivative
As Published: 2005
specialist securitised derivative
(in LR ) a securitised derivative which because of its nature is normally bought and traded by a limited number of investors who are particularly knowledgeable in investment matters. 34…
branch passport notification
As Published: 2017
branch passport notification
70 a notification made in accordance with article 35(2) of MiFID and MiFID ITS 4A Annex VI.
recovery capacity
As Published: 2015
recovery capacity
138 the capability of an RRD institution to restore its financial position following a significant deterioration. [Note: article 2(1)(103) of RRD ]…
non-EEA feeder AIF
As Published: 2014
non-EEA feeder AIF
57 a UK AIF or an EEA AIF that is a feeder AIF , the master AIF of which is a non-EEA AIF or is managed by a non-EEA AIFM .
MiFIR Delegated Regulation
As Published: 2017
MiFIR Delegated Regulation
118 Commission Delegated Regulation (EU) 2017/567 of 18 May 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to definitions, transparency, portf…