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client money resource
As Published: 2014
client money resource
166 the aggregate balance on the firm's client bank accounts (see CASS 7.16.8 R ).
housing disrepair claim
As Published: 2019
housing disrepair claim
44 a claim of the description specified in article 89F(2)(e) of the Regulated Activities Order .
employee benefit consultant
As Published: 2010
employee benefit consultant
65 a person that gives advice, or provides services to, an employer in connection with a group personal pension scheme or group stakeholder pension scheme provided, or to be provided, by the employer…
capital conservation buffer
As Published: 2014
capital conservation buffer
162 (in accordance with article 128(1) of CRD (Definitions)) the amount of common equity tier 1 capital a firm must calculate in line with IFPRU 10.2 .
statutory notice
As Published: 2001
statutory notice
a warning notice , decision notice or supervisory notice . 5…
maxi-ISA
As Published: 2001
maxi-ISA
3 an ISA which includes a stocks and shares component and may also include other qualifying investments such as: (a) a cash component ; (b) an insurance component ; as prescribed in paragraphs 7, 8 an…
simplified ILAS BIPRU firm
As Published: 2009
simplified ILAS BIPRU firm
84 an ILAS BIPRU firm that, in accordance with the procedures in BIPRU 12 (Liquidity), is using the simplified ILAS .
third-country countercyclical buffer authority
As Published: 2014
third-country countercyclical buffer authority
60 the authority of a third country empowered by law or regulation with responsibility for setting the countercyclical buffer rate for that third country .
incoming EEA AIFM branch
As Published: 2013
incoming EEA AIFM branch
114 an incoming EEA firm which is an AIFM and exercising its right to establish a branch under AIFMD .
market making strategy
As Published: 2018
market making strategy
126 a strategy undertaken by a person where: (a) the person is a member or participant of one or more trading venues ; (b) the person’s strategy, when dealing on own account , involves posting firm, s…
MiFID RTS 23
As Published: 2017
MiFID RTS 23
118 Commission Delegated Regulation (EU) No 2017/585 of 14 July 2016 supplementing MiFIR with regard to regulatory technical standards for the data standards and formats for financial instrument refer…
property authorised investment fund
As Published: 2008
property authorised investment fund
an open-ended investment company to which Part 4A of the Authorised Investment Funds (Tax) Regulations 2006 (SI 2006/964) applies. 65…
circular
As Published: 2005
circular
(in LR ) any document issued to holders of listed securities including notices of meetings but excluding prospectuses , listing particulars , annual reports and accounts, interim reports, proxy cards…
EEA SMCR firm
As Published: 2018
EEA SMCR firm
130 (a) an EEA SMCR banking firm ; or (b) any other SMCR firm that is an incoming EEA firm or incoming Treaty firm .
class meeting
As Published: 2001
class meeting
(in COLL ) a separate meeting of holders of a class of units . 3 20…