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Distance Marketing Directive
As Published: 2003
Distance Marketing Directive
12 14 17 The Directive of the Council and Parliament of 23 September 2002 on distance marketing of consumer financial services (No 2002/65/EC).
pension annuity
As Published: 2001
pension annuity
means a policy which is a contract to pay an annuity on human life purchased by a retail client (wholly or partially) out of the funds of an occupational pension scheme , a personal pension scheme or…
client money requirement
As Published: 2014
client money requirement
166 the total amount of client money a firm is required to have segregated in client bank accounts under the client money rules (see CASS 7.16.10 R ).
operating an electronic system in relation to non-P2P agreements
As Published: 2016
operating an electronic system in relation to non-P2P agreements
81 the unregulated activity , carried on by a person who has Part 4A permission to operate an electronic system in relation to lending , of carrying on the activity described in article 36H of the Reg…
CTF provider
As Published: 2004
CTF provider
24 (in accordance with section 3(1) of the Child Trust Funds Act 2004) a person approved by HM Revenue and Customs 30 in accordance with the CTF Regulations .
establishing, operating or winding up a collective investment scheme
As Published: 2001
establishing, operating or winding up a collective investment scheme
the regulated activity , specified in article or 51ZE 82 of the Regulated Activities Order (Establishing etc a collective investment scheme), of establishing, operating or winding up a collective inve…
Solvency II Directive information
As Published: 2015
Solvency II Directive information
131 (in COBS ) Solvency II Directive information as required in COBS 13 Annex 1 .
ABCP programme
As Published: 2006
ABCP programme
37 (for the purposes of BIPRU 9 (Securitisation)) an asset backed commercial paper programme .
Money and Pensions Service
Money and Pensions Service
137 the single financial guidance body ( SFGB ) established under section 1 of the Financial Guidance and Claims Act 2018.
reporting level
As Published: 2009
reporting level
82 (in SUP 16 (Reporting requirements) and in relation to a data item ) refers to whether that data item is prepared on a solo basis or on the basis of a group such as a UK DLG by modification and, if…
lifetime ISA business
As Published: 2017
lifetime ISA business
72 a firm's activities, in its capacity as an ISA manager , in connection with a lifetime ISA which is not either or both MiFID business and designated investment business .
mineral resources
As Published: 2005
mineral resources
(in LR ) include metallic and non-metallic ores, mineral concentrates, industrial minerals, construction aggregates, mineral oils, natural gases, hydrocarbons and solid fuels including coal. 28…
prescribed pricing basis
As Published: 2001
prescribed pricing basis
5 (in relation to a derivative contract, or quasi-derivative contract ), the pricing basis set out in IPRU(INS) 4.12R(8) (Derivative contracts) as that rule was in force on 30 December 2004 25 .
incoming EEA AIFM
As Published: 2013
incoming EEA AIFM
114 an incoming EEA firm which is an AIFM and exercising its rights under AIFMD .
MiFID RTS 8
As Published: 2017
MiFID RTS 8
118 Commission Delegated Regulation (EU) 2017/578 of 13 June 2016 supplementing MiFID with regard to regulatory technical standards specifying the requirements on market making agreements and schemes.
claims management client money rules
As Published: 2019
claims management client money rules
228 the rules and guidance in CASS 13 .
large company
As Published: 2001
large company
a body corporate which does not qualify as a small company under section 247 of the Companies Act 1985 2 , or section 382 of the Companies Act 2006 as applicable. 33…
defined benefit scheme
As Published: 2007
defined benefit scheme
41 in relation to a director , means a pension scheme which is not a money purchase scheme .
unrecognised scheme
As Published: 2005
unrecognised scheme
(in LR ) a collective investment scheme which is neither a recognised scheme nor a scheme that is constituted as an authorised unit trust scheme or authorised contractual scheme 47 . 12…