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CCAR 2004
As Published: 2014
CCAR 2004
157 Consumer Credit (Advertisements) Regulations 2004, SI 2004/1484.
service contract
As Published: 2015
service contract
134 228 (as defined in regulation 5 of the ADR Regulations ) a contract, other than a sales contract , under which a trader supplies, or agrees to supply a service to a consumer and the consumer pays,…
qualifying management company holding
As Published: 2011
qualifying management company holding
15 (in COLL ) a direct or indirect holding in a management company which represents 10% or more of the capital or of the voting rights or which makes it possible to exercise a significant influence ov…
category B1 firm
As Published: 2009
category B1 firm
94 a category B firm whose permission includes dealing in investments as principal .
linked long-term
As Published: 2001
linked long-term
(in relation to a contract of insurance ) a long-term insurance contract 24 where the benefits are wholly or partly to be determined by reference to the value of, or the income from, property of any d…
with-profits committee
As Published: 2007
with-profits committee
13 a committee: 23 (a) the majority of the members of which are independent of the firm , or, where there is an equal number of independent and non-independent members, which is chaired by a person wh…
insurance-related capital requirement
As Published: 2004
insurance-related capital requirement
32 a component of the calculation of the ECR for a firm carrying on general insurance business as set out in INSPRU 1.1.76 R to INSPRU 1.1.79 R 52 .
financial sector
As Published: 2004
financial sector
(1) (subject to (2)) one of the banking sector , the insurance sector or the investment services sector . 23 (2) (for the purposes of the definition of financial conglomerate and for any other provisi…
per se professional client
As Published: 2007
per se professional client
46 a client categorised as a per se professional client in accordance with COBS 3.5 .
retail SME
As Published: 2006
retail SME
46 (1) (in relation to the IRB approach ) a small or medium sized entity, an exposure to which may be treated as a retail exposure under BIPRU 4.6.2 R (Definition of retail exposures). (2) (in relatio…
EEA-deposit insurer
As Published: 2004
EEA-deposit insurer
24 a Solvency II firm that is a third-country insurance undertaking and 100 that has made a deposit in an EEA State (other than the United Kingdom ) under article 162(2)(e) of the Solvency II Directiv…
aircraft
As Published: 2001
aircraft
4 (in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph 5 of Part I of Schedule 1 to the Regulated Activities Order (Contracts of general insur…
credit firm
As Published: 2013
credit firm
151 a firm with permission to carry on a credit-related regulated activity .
investment manager
As Published: 2007
investment manager
(1) (except in LR ) 64 a person who, acting only on behalf of a client : (a) manages designated investments in an account or portfolio on a discretionary basis under the terms of a discretionary manag…
recognised scheme
As Published: 2001
recognised scheme
a scheme recognised under: (a) section 264 of the Act (Schemes constituted in other EEA States); or (b) [deleted] 133 (c) section 272 of the Act (Individually recognised overseas schemes). 5…