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CASS 13 claims management firm
As Published: 2019
CASS 13 claims management firm
228 a firm that is subject to the rules and guidance in CASS 13 .
CCR standardised method
As Published: 2006
CCR standardised method
48 the method of calculating the amount of an exposure set out in BIPRU 13.5 (CCR standardised method).
dual-regulated firm
As Published: 2015
dual-regulated firm
96 (in SYSC 19D ) a firm that is UK bank 111 , a building society or a UK designated investment firm .
FCA-recognised industry code
As Published: 2018
FCA-recognised industry code
120 A market code prepared by a private person that prescribes or prohibits forms of conduct or behaviour in relation to activities in financial markets, recognised by the FCA under its industry code…
Stakeholder Regulations
As Published: 2004
Stakeholder Regulations
27 the Financial Services and Markets Act 2000 (Stakeholder Products) Regulations 2004 (SI 2004/2738).
settlement price
As Published: 2005
settlement price
(in LR ) (in relation to securitised derivatives ), the reference price or prices of the underlying instrument or instruments stipulated by the issuer for the purposes of calculating its obligations t…
notional principal
As Published: 2001
notional principal
(a) (in relation to a contract for differences which is an index derivative ): (i) the current mark to market valuation of a contract for differences which resembles a futures contract; or (ii) the ex…
extraordinary public financial support
As Published: 2015
extraordinary public financial support
99 State aid within article 107(1) of the Treaty , or any other public financial support at supra-national level, which, if given at national level, would constitute state aid that is given to preserv…
inside information
As Published: 2005
inside information
as described in article 7 of the Market Abuse Regulation . 145…
qualifying debt security
As Published: 2002
qualifying debt security
(1) 10 17 40 [deleted] 17 40 (2) (for the purposes of BIPRU ) a debt security that satisfies the conditions in BIPRU 7.2.49 R (Definition of a qualifying debt security). 10…
limited activity firm
As Published: 2006
limited activity firm
54 has the meaning in article 96(1) of the EU CRR .
long-term insurance capital requirement
As Published: 2004
long-term insurance capital requirement
13 (in relation to a firm carrying on long-term insurance business ) an amount of capital resources that the firm must hold calculated in accordance with 22 GENPRU 2.1.36R 22 .
regulatory surplus
As Published: 2005
regulatory surplus
32 (in relation to a long-term business fund, or sub-fund) the excess, if any, of the regulatory value of assets for the with-profits fund over the regulatory value of liabilities for that fund.
firm's equity balance
As Published: 2014
firm's equity balance
76 the sum of money described in CASS 7.16.29 R .
internal approaches
As Published: 2013
internal approaches
124 one or more of the following, as referred to in the EU CRR : (a) the Internal Ratings Based Approach in article 143(1); (b) the Internal Models Approach in article 221; (c) the own estimates appro…
MCOB 6 Annex 3 - Cooling-Off Document of a regulated sale and rent back agreement.
As Published: 2010
MCOB 6 Annex 3 - Cooling-Off Document of a regulated sale and rent back agreement.
…