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additional tier 1 capital
As Published: 2013
additional tier 1 capital
105 as defined in article 61 of the EU CRR .
MiFID optional exemption firm
As Published: 2017
MiFID optional exemption firm
118 a firm that is an exempt investment firm for the purpose of regulation 8 of the MiFI Regulations .
Money Market Funds Regulation
As Published: 2018
Money Market Funds Regulation
128 Regulation (EU) No 2017/1131 of the European Parliament and the Council of 14 June 2017 on money market funds.
GAP contract
As Published: 2015
GAP contract
57 a guaranteed asset protection contract; this is a contract of insurance covering a policyholder , in the event of total loss to a vehicle , against the difference between: (a) the amount claimed un…
market counterparty
As Published: 2001
market counterparty
(for the purposes only of COBS TP 1 (Transitional Provisions in relation to Client Categorisation)) 90 any person classified as a 'market counterparty' under COB on 31 October 2007, in accordance with…
currency transfer service
As Published: 2019
currency transfer service
231 a payment service or the issuance of electronic money that involves a currency conversion. For the purpose of this definition ‘currency conversion’ has the same meaning as it has in the Payment Se…
market interface specification
As Published: 2017
market interface specification
118 a document setting out the technical details required to format and submit market data to the FCA using the market data processor system .
online notification and application system
As Published: 2017
online notification and application system
84 the FCA’s and the PRA’s online notification and applications system, by whatever name known. [Note: before 1 October 2014 this was known as ONA, and from 1 October 2014 it has been known as the CON…
EIS manager
As Published: 2001
EIS manager
(a) (in relation to an EIS managed portfolio ) the investment manager; (b) (in relation to an EIS fund ) the manager of the fund. 4…
arrears
As Published: 2003
arrears
9 (in relation to a regulated mortgage contract or a home purchase plan 32 ) either: (a) a shortfall (equivalent to two or more regular payments) in the accumulated total payments actually made by the…
appropriate position risk adjustment
As Published: 2013
appropriate position risk adjustment
184 (1) (in relation to a position treated under BIPRU 7.6 (Option PRR)) the percentage figure applicable to that position under the table in BIPRU 7.6.8 R (Appropriate Position Risk Adjustment); (2)…
relevant credit agreement
As Published: 2014
relevant credit agreement
132 a credit agreement (within the meaning given by article 60B of the Regulated Activities Order ) other than a regulated mortgage contract or a regulated home purchase plan (within the meaning of th…
Financial Promotion Order
As Published: 2001
Financial Promotion Order
the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (SI 2005/1529) 17 .
sponsor declaration
As Published: 2014
sponsor declaration
128 a declaration submitted by a sponsor to the FCA as required under LR 8.4.3 R (Application for listing), LR 8.4.9 R (Further application for listing), LR 8.4.13 R (Production of circular) or LR 8.4…
Claims Management Order
As Published: 2019
Claims Management Order
228 the Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018.
individual capital assessment
As Published: 2006
individual capital assessment
53 (in 140 COBS 20.2 62 ) an assessment by a firm of the adequacy of its capital resources undertaken as part of an assessment of the adequacy of the firm's overall financial resources 140 .
Exemption Order
As Published: 2001
Exemption Order
the Financial Services and Markets Act 2000 (Exemption) Order 2001 (SI 2001/1201). 4…
CCAR 2004
As Published: 2014
CCAR 2004
157 Consumer Credit (Advertisements) Regulations 2004, SI 2004/1484.