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unpaid initial fund
As Published: 2004
unpaid initial fund
11 part of the initial fund of a mutual which the mutual is prevented from including in its tier one capital resources as permanent share capital by reason of GENPRU 2.2.64R 19 because it is not fully…
MiFID RTS 9
As Published: 2017
MiFID RTS 9
118 Commission Delegated Regulation (EU) No No 2017/566 of 18 May 2016 supplementing MiFID with regard to regulatory technical standards on the ratio of unexecuted orders to transactions.
claims management fee cap
As Published: 2019
claims management fee cap
228 the provisions in sections 29 and 31of the Financial Guidance and Claims Act 2018 (see CMCOB 5 ).
net margined omnibus client account
As Published: 2014
net margined omnibus client account
56 an omnibus client account maintained by a clearing member firm in respect of which the margining arrangements give rise to a gross-minus-net amount which is held by the clearing member firm as clie…
SDL
As Published: 2010
SDL
90 (in BSOCS ) the total of share and deposit liabilities, excluding amounts that qualify as own funds but including accrued interest not yet payable.
Glossary
As Published: 2001
Glossary
the Glossary giving the meanings of the defined expressions used in the Handbook . 4…
lower stage of capital
As Published: 2006
lower stage of capital
22 (with respect to a particular item of capital in the capital resources table ) a stage in the capital resources table below that in which that item of capital appears.
small registered UK AIFM
As Published: 2013
small registered UK AIFM
118 a small AIFM that is registered by the FCA in accordance with regulation 10 of the AIFMD UK regulation .
trading book policy statement
As Published: 2006
trading book policy statement
56 (1) (in BIPRU ) has the meaning in BIPRU 1.2.29R (Trading book policy statements) which is in summary a single document of a person recording the policies and procedures referred to in BIPRU 1.2.26…
EEA Passport Rights Regulations
As Published: 2001
EEA Passport Rights Regulations
the Financial Services and Markets Act 2000 (EEA Passport Rights) Regulations 2001 (SI 2001/2511). 1…
biomass collective investment scheme
As Published: 2008
biomass collective investment scheme
29 a collective investment scheme , the property of which consists only of property which is biomass or a biomass investment or cash awaiting investment.
regulated payment system
As Published: 2015
regulated payment system
140 a payment system designated by HM Treasury under section 43 of FSBRA .
pawnee
As Published: 2014
pawnee
116 a person who takes any article in pawn and includes any person to whom the rights and duties of the original pawnee have passed by assignment or operation of law.
injured party
As Published: 2002
injured party
(in ICOBS 70 ) 28 a resident of the EEA entitled to compensation in respect of any loss or injury caused by vehicles . 61 [Note: article 1(2) of Directive 72/166/EC (First Motor Insurance Directive)]…
EEA registered account information service provider
As Published: 2018
EEA registered account information service provider
121 (in accordance with regulation 2(1) of the Payment Services Regulations ) a person that is registered as an account information services provider in an EEA State other than the United Kingdom unde…