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ongoing basis
As Published: 2010
ongoing basis
45 in BIPRU 9.15 , maintaining on an ongoing basis means that the retained positions, interest or exposures are not hedged or sold. [Note: BCD , Article 122a, paragraph 1]…
port
As Published: 2012
port
in respect of the assets and positions recorded in a client transaction account that is an individual client account or an omnibus client account at an authorised central counterparty , action taken b…
insurer
As Published: 2001
insurer
5 a firm with permission to effect 48 or carry out contracts of insurance . 159…
MTF transaction
As Published: 2007
MTF transaction
44 a transaction concluded by a firm under the rules governing an MTF with another member or participant of that MTF .
non-standard method of internal client money reconciliation
As Published: 2014
non-standard method of internal client money reconciliation
56 the method of internal client money reconciliation described in CASS 7.15.17 R . 56…
material interest
As Published: 2001
material interest
3 (in COBS 52 ) (in relation to a transaction) any interest of a material nature, other than disclosable commission on the transaction. 118 29 29 52 52…
total cost of credit to the borrower
As Published: 2013
total cost of credit to the borrower
55 (in CONC App 1.2 ) all costs, including interest, commissions, taxes and any other kind of fees which are required to be paid by, or on behalf of, the borrower or a relative of the borrower in conn…
group respondents
As Published: 2013
group respondents
85 all respondents identified as part of the relevant charging group as defined in FEES 5 Annex 3R Part 3 .
tier two capital resources
As Published: 2004
tier two capital resources
14 the sum calculated at stage I (Total tier two capital) 26 of the calculation in the capital resources table 26 .
equivalent business of a third country investment firm
As Published: 2006
equivalent business of a third country investment firm
33 the business of a third country investment firm carried on from an establishment in the United Kingdom that would be MiFID business if that firm were a MiFID investment firm .
CASS large debt management firm
As Published: 2014
CASS large debt management firm
157 a CASS debt management firm falling within the classification of CASS large debt management firm in CASS 11.2.3 R .
Disciplinary Tribunal
As Published: 2001
Disciplinary Tribunal
a Tribunal appointed under Schedule 2 to Lloyd's Disciplinary Committees Byelaw (No 31 of 1996). 3…
MIPRU Sch 3 Fees and other required payments
As Published: 2006
MIPRU Sch 3 Fees and other required payments
…
ADR Regulations
As Published: 2015
ADR Regulations
120 187 the Alternative Dispute Resolution for Consumer Disputes (Competent Authorities and Information) Regulations 2015 (SI 2015/542).
terminating event
As Published: 2001
terminating event
(as defined in article 2(1) of the compensation transitionals order ) in relation to applications made under an investment business compensation scheme , the withdrawal, discontinuance or rejection of…
cross border services
As Published: 2001
cross border services
(1) (in relation to a UK firm ) services provided within an EEA State other than the United Kingdom under the freedom to provide services. (2) (in relation to an incoming EEA firm or an incoming Treat…
UK parent financial holding company in a Member State
As Published: 2006
UK parent financial holding company in a Member State
19 a parent financial holding company in a Member State where the EEA State in question is the United Kingdom .
RAP regulations
As Published: 2011
RAP regulations
105 the Recognised Auction Platforms Regulations 2011 (SI 2011/2699).