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external client money reconciliation
As Published: 2014
external client money reconciliation
94 (1) (in CASS 7 132 ) the client money reconciliation described in CASS 7.15.20R . (2) (in CASS 13 ) the client money reconciliation described in CASS 13.10.17R . 132…
professional ACS investor
As Published: 2013
professional ACS investor
109 in relation to an ACS , a person who falls within one of the categories (1) to (4) of Section I of Annex II (professional clients for the purpose of that directive) to MiFID .
local authority
As Published: 2013
local authority
50 (a) in England and Wales, a local authority within the meaning of the Local Government Act 1972, the Greater London Authority, the Common Council of the City of London or the Council of the Isles o…
general insurance capital requirement
As Published: 2004
general insurance capital requirement
12 the highest of the premiums amount , claims amount and brought forward amount as set out in INSPRU 1.1 20 .
unattached shares
As Published: 2011
unattached shares
45 (in CREDS ) means the total shares in the credit union other than any attached shares or deferred shares .
recognised third country credit institution
As Published: 2006
recognised third country credit institution
130 a full CRD credit institution that satisfies the following conditions: (a) its head office is outside the EEA ; (b) it is authorised by a third country competent authority in the state or territor…
BIPRU Remuneration Code staff
As Published: 2013
BIPRU Remuneration Code staff
51 for a BIPRU firm and a third country BIPRU firm , has the meaning given in SYSC 19C.3.4 R .
debenture
As Published: 2001
debenture
the investment , specified in article 77 of the Regulated Activities Order (Instruments creating or acknowledging indebtedness), which is in summary: any of the following which are not government and…
Micro-enterprise Recommendation
As Published: 2009
Micro-enterprise Recommendation
60 169 Recommendation 2003/361/EC of the Commission of 6th May 2003 concerning the definition of micro, small and medium-sized enterprises.
small authorised UK AIFM
As Published: 2013
small authorised UK AIFM
115 a UK AIFM which: (a) is a small AIFM ; and (b) has not opted in to AIFMD in accordance with article 3(4) of AIFMD to become a full-scope UK AIFM .
engage in investment activity
As Published: 2001
engage in investment activity
(as defined in section 21(8) of the Act ) (Restrictions on financial promotion)): (a) enter or offer to enter into an agreement the making or performance of which by either party constitutes a control…
business premises
As Published: 2013
business premises
48 (in CONC App 1.3 56 ) premises for occupation for the purposes of a business (including any activity carried on by a body of persons , whether corporate or unincorporate) or for those and other pur…
SUP 16 Annex 14 Quarterly and annual returns for Credit Unions [deleted]
As Published: 2002
SUP 16 Annex 14 Quarterly and annual returns for Credit Unions [deleted]
…
entering into a home reversion plan
As Published: 2006
entering into a home reversion plan
31 the regulated activity , specified in article 63B(1) of the Regulated Activities Order , which is in summary: entering into a home reversion plan as provider, or acquiring any obligations or rights…
controlled agreement
As Published: 2001
controlled agreement
(as defined in section 30 of the Act (Enforceability of agreements resulting from unlawful communications)) an agreement the making or performance of which by either party constitutes a controlled act…
RCB 3 Annex 3 Asset and liability profile form
As Published: 2008
RCB 3 Annex 3 Asset and liability profile form
…
complaints data publication rules
As Published: 2010
complaints data publication rules
102 DISP 1.10A .
savings account
As Published: 2015
savings account
144 an account, other than an account relating to a structured deposit , held for a banking customer : (a) on terms that interest or a dividend is to be paid on money standing to the credit of the acc…
wholesale market broker
As Published: 2001
wholesale market broker
a firm when carrying out the activities of name-passing broker , or acting on a matched principal basis, with or for market counterparties . 3…