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COMP 4.4 Exceptions: Relevant general insurance contracts: mesothelioma claims
As Published: 2006
COMP 4.4 Exceptions: Relevant general insurance contracts: mesothelioma claims
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value at risk
As Published: 2006
value at risk
8 (in relation to risk modelling or estimation for the purposes of BIPRU 15 ) the measure of risk described in BIPRU 7.10.146 R (Requirement to use value at risk methodology).
MiFID RTS 11
As Published: 2017
MiFID RTS 11
118 Commission Delegated Regulation (EU) 2017/588 of 14 July 2016 supplementing MiFID with regard to regulatory technical standards on the tick size regime for shares, depositary receipts and exchange…
authorised business overdraft agreement
As Published: 2014
authorised business overdraft agreement
107 a borrower-lender agreement which provides authorisation in advance for the borrower to overdraw on a current account, where the agreement is entered into by the borrower wholly or predominantly f…
AVC
As Published: 2001
AVC
a voluntary contribution arrangement paid by a member of an occupational pension scheme under the terms of the scheme or of a separate contract. 49…
Accounting Directive
As Published: 2014
Accounting Directive
115 Directive 2013/34/EU of the European Parliament and of the Council of 26 June 2013 on the annual financial statements, consolidated financial statements and related reports of certain types of und…
permitted third party
As Published: 2001
permitted third party
a third party who is: (a) an authorised person ; or (b) an exempt person for whom an authorised person is accepting responsibility; or (c) a person lawfully carrying on a regulated activity in another…
net underwriting exposure
As Published: 2006
net underwriting exposure
19 has the meaning in BIPRU 7.8.34R (Large exposure risk from underwriting securities: Calculating the net underwriting exposure) which is in summary the amount calculated by applying the reduction fa…
investment trust savings scheme
As Published: 2001
investment trust savings scheme
(a) a dealing service (whether or not held within a pension contract ) dedicated to the securities of one or more investment trusts ; 30 (b) securities to be acquired through an investment trust savin…
asset backed security
As Published: 2005
asset backed security
(as defined in the PR Regulation 156 ) securities 97 which: (a) represent an interest in assets, including any rights intended to assure servicing, or the receipt or timeliness of receipts by holders…
making arrangements with a view to a home finance transaction
As Published: 2006
making arrangements with a view to a home finance transaction
34 any of the regulated activities of making arrangements with a view to a regulated mortgage contract , making arrangements with a view to a home reversion plan , 63 making arrangements with a view t…
institution
As Published: 2006
institution
124 (1) has the meaning in article 4(1)(3) of the EU CRR ). (2) (for the purposes of GENPRU and BIPRU ) includes a CAD investment firm .
ICOBS Sch 3 Fees and other required payments requirements
As Published: 2007
ICOBS Sch 3 Fees and other required payments requirements
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AIFM remuneration principles
As Published: 2013
AIFM remuneration principles
101 the principles set out in SYSC 19B.1.5 R to SYSC 19B.1.24 R .
investment services and activities passport notification
As Published: 2017
investment services and activities passport notification
150 a notification made in accordance with article 34(2) of MiFID and MiFID ITS 4 Annex I.
own account order
As Published: 2001
own account order
an order which relates to an own account transaction . 4…
Prospectus RTS Regulation
As Published: 2019
Prospectus RTS Regulation
Commission Delegated Regulation (EU) 2019/979. 185…
professional firm
As Published: 2001
professional firm
5 2 a person which is: (a) an individual who is entitled to practise a profession regulated by a designated professional body and, in practising it, is subject to its rules, whether or not he is a mem…
published recommendation
As Published: 2001
published recommendation
5 any publication by or on behalf of a firm (including publication by sound broadcasting or television or other electronic means) which contains: (a) the results of research into investments ; or (b)…