Search Result
not-for-profit body
As Published: 2013
not-for-profit body
52 a body which by virtue of its constitution or any enactment: (a) is required (after payment of outgoings) to apply the whole of its income, and any capital which it expends, for charitable or publi…
specific costs levy
As Published: 2001
specific costs levy
a levy, forming part of the management expenses levy , to meet the specific costs in the financial year of the compensation scheme to which the levy relates, each participant firm's share being calcul…
home purchase provider
As Published: 2006
home purchase provider
8 a firm with permission (or which ought to have permission ) for entering into a home purchase plan .
CSDR
As Published: 2017
CSDR
211 Regulation (EU) No 909/2014 of the European Parliament and of the Council of 23 July 2014 on improving securities settlement in the EU and on central securities depositories and amending the Settl…
debt management client money distribution rules
As Published: 2014
debt management client money distribution rules
87 the rules and guidance in CASS 11.13 .
authorised approved person employer
As Published: 2018
authorised approved person employer
150 (in relation to an approved person with a current approved person approval ) the firm on whose application approval for the performance of the controlled function was given under section 59 of the…
tied MCD credit intermediary
As Published: 2015
tied MCD credit intermediary
67 a tied MCD mortgage credit intermediary or a tied MCD article 3(1)(b) credit intermediary . [Note: article 4(7) of the MCD ]…
authorised unit trust scheme
As Published: 2001
authorised unit trust scheme
4 (as defined in section 237(3) of the Act (Other definitions)) a unit trust scheme which is authorised for the purposes of the Act by an authorisation order .
universal registration document
As Published: 2019
universal registration document
a universal registration document referred to in article 9 of the Prospectus Regulation . 83…
third party verifier
As Published: 2019
third party verifier
85 a person authorised in accordance with paragraph 28(1) of the Securitisation Regulation . [Note: see https://eur-lex.europa.eu/eli/reg/2017/2402/oj ]…
IRB exposure class
As Published: 2006
IRB exposure class
52 (in relation to the IRB approach ) one of the classes of exposure set out in BIPRU 4.3.2 R (exposure classes).
mortgage adviser
As Published: 2003
mortgage adviser
11 12 a firm with permission (or which ought to have permission ) for advising on regulated mortgage contracts .
linked policyholders
As Published: 2007
linked policyholders
29 policyholders under a linked long-term contract.
structured deposit appointed representative
As Published: 2017
structured deposit appointed representative
161 an appointed representative that is a party to a contract with a MiFID investment firm that permits or requires it to carry on only the business of selling, or advising clients in relation to, str…
Financial Groups Directive
As Published: 2004
Financial Groups Directive
9 Directive 2002/87/EC of the European Parliament and of the Council of 16 December 2002 on the supplementary supervision of credit institutions, insurance undertakings and investment firms in a finan…
PROF Sch 3 Fees and other required payments
As Published: 2004
PROF Sch 3 Fees and other required payments
…