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relevant overseas USRs
As Published: 2015
relevant overseas USRs
145 the following overseas uncertificated securities regulations: (a) the Jersey Companies (Uncertificated Securities) (Jersey) Order 1999; (b) the Guernsey Uncertified Securities (Guernsey) Regulatio…
securities note
As Published: 2005
securities note
(in Part 6 rules ) a securities note referred to in article 6(3) of the Prospectus Regulation 116 . 34…
interest rate benchmark
As Published: 2018
interest rate benchmark
161 has the meaning in article 3.1(22) of the benchmarks regulation .
insurance undertaking
As Published: 2001
insurance undertaking
an undertaking including a member that carries on insurance business , whether or not an insurer . 134…
GENPRU Sch 3 Fees and other requirement payments
As Published: 2006
GENPRU Sch 3 Fees and other requirement payments
…
minor stock market index
As Published: 2019
minor stock market index
135 a stock market index which is not a major stock market index .
index-linked security
As Published: 2010
index-linked security
90 (in COLL ) a debt security for which the cash flows are determined by reference to an index of consumer prices.
UK AIFM
As Published: 2013
UK AIFM
48 an AIFM established in the UK and with a Part 4A permission to carry on the regulated activity of managing an AIF .
electronic SCV rules
As Published: 2009
electronic SCV rules
(in COMP ) COMP 17.2.1 R(2) , COMP 17.2.3 R(3) and COMP 17.2.5 R , the application of which is determined by COMP 17.1 and COMP 17.2.7 R . 60…
located
As Published: 2018
located
77 in relation to administrators (as defined in the benchmarks regulation ), benchmark contributors and supervised entities , has the meaning in article 3.1(28) of the benchmarks regulation which is:…
counterparty risk capital component
As Published: 2006
counterparty risk capital component
48 the part of the credit risk capital requirement calculated in accordance with BIPRU 14.2.1 R (Calculation of the counterparty risk capital component).
matched principal trading
As Published: 2017
matched principal trading
118 a transaction where the facilitator interposes itself between the buyer and the seller to the transaction in such a way that it is never itself exposed to market risk throughout the execution of t…
Building Societies Ombudsman scheme
As Published: 2001
Building Societies Ombudsman scheme
1 the former scheme set up and recognised under the Building Societies Act 1986 to handle complaints about building societies .
non-executive director function
As Published: 2001
non-executive director function
69 FCA controlled function CF2 in 78 the table of FCA controlled functions , described more fully in SUP 10A.6.12 R and SUP 10A.6.13 R . 69 102…
exercise price
As Published: 2005
exercise price
(in LR ) (in relation to securitised derivatives ), the price stipulated by the issuer at which the holder can buy or sell the underlying instrument from or to the issuer . 26…
ICOBS 4 Annex 1 Initial disclosure document [deleted]
As Published: 2016
ICOBS 4 Annex 1 Initial disclosure document [deleted]
…
EIS share
As Published: 2001
EIS share
a share in respect of which the beneficial owner may, subject to his individual circumstances, be qualified, or has been qualified, for relief under Chapter III of Part VII of the Income and Corporati…
registered society
As Published: 2017
registered society
181 a society registered or deemed to be registered under the Co-operative and Community Benefit Societies Act 2014.
FCA registered tied agent
As Published: 2013
FCA registered tied agent
151 a tied agent who is an agent for the purposes of section 39A of the Act .
CRD credit institution
As Published: 2013
CRD credit institution
156 a credit institution that has its registered office (or, if it has no registered office, its head office) in an EEA State , excluding an institution to which the CRD does not apply under article 2…