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Independent Investigator
As Published: 2001
Independent Investigator
the former Ombudsman under the FSA scheme . 1…
dealing day
As Published: 2001
dealing day
(in COLL ) the period in a business day (in accordance with provisions of the prospectus ) during which the ACD or the operator is open for business. 3…
legal expenses
As Published: 2001
legal expenses
(in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph 17 of Part I of Schedule 1 to the Regulated Activities Order (Contracts of general insura…
CBTL firm
As Published: 2015
CBTL firm
291 (1) (other than in DISP ) a person included by the FCA in the Financial Services Register pursuant to article 8(1) of the MCD Order . (2) (in DISP and FEES 5.5B ) a person 213 within (1) who is no…
standard methods of internal client money reconciliation
As Published: 2014
standard methods of internal client money reconciliation
(a) [deleted] (b) the methods of internal client money reconciliation described in CASS 7.16 . 124…
intra-group transactions
As Published: 2004
intra-group transactions
27 (in accordance with Article 2(18) of the Financial Groups Directive (Definitions)) all transactions by which regulated entities within a financial conglomerate rely either directly or indirectly up…
UK parent mixed financial holding company in a Member State
As Published: 2013
UK parent mixed financial holding company in a Member State
53 a parent mixed financial holding company in a Member State where the EEA State in question is the UK .
innovative tier one instrument
As Published: 2004
innovative tier one instrument
32 a potential tier one instrument that is stated in GENPRU 2.2 (Capital resources) 52 to be an innovative instrument.
SRB agreement provider
As Published: 2009
SRB agreement provider
78 (in accordance with article 63J(3)(a) of the Regulated Activities Order ) a firm which buys all or part of the qualifying interest in land in the United Kingdom from a SRB agreement seller under a…
member society
As Published: 2001
member society
2 (as defined in article 2(2) of the compensation transitionals order ) a person who at any time before commencement was a member society within the rules of the Friendly Societies Protection Scheme e…
IBNR
As Published: 2004
IBNR
32 (in relation to claims (as defined for the purposes of INSPRU 52 , SUP and TC )) claims that have been incurred but not reported arising out of events that have occurred by the balance sheet date b…
high net worth offer document
As Published: 2012
high net worth offer document
28 an offer document for a regulated mortgage contract to a high net worth mortgage customer .
consolidated basis
As Published: 2013
consolidated basis
153 has the meaning in article 4(1)(48) of the EU CRR .
Deposit Guarantee Directive
As Published: 2001
Deposit Guarantee Directive
the Council Directive of 13 May 1994 on deposit-guarantee schemes (No 94/19/EC). 3…
industry block
As Published: 2001
industry block
(in FEES 40 ) a grouping of firms by common business activity for the purposes of calculating the general levy . 5 1 7…
upper tier two capital
As Published: 2002
upper tier two capital
(1) 3 11 44 98 [deleted] 44 98 (2) (in 19 BIPRU , GENPRU and INSPRU 19 ) an item of capital that is specified in stage G of the 11 19 capital resources table (Upper tier two capital) 19 .
regulatory excess capital
As Published: 2004
regulatory excess capital
29 (in relation to a with-profits fund ) has the meaning set out in 46 INSPRU 1.3.32R 46 .
Referral Fees Regulations
As Published: 2013
Referral Fees Regulations
126 the Legal Aid, Sentencing and Punishment of Offenders Act 2012 (Referral Fees) Regulations 2013 (SI 2013/1635).