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premium listing (commercial company)
As Published: 2009
premium listing (commercial company)
77 a premium listing of equity shares 90 (other than those of a closed-ended investment fund or of an open-ended investment company or of a sovereign controlled commercial company that is required to…
marriage or the formation of a civil partnership and birth
As Published: 2005
marriage or the formation of a civil partnership and birth
(in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph II of Part II of Schedule 1 to the Regulated Activities Order (Contracts of long-term ins…
main BIPRU firm Pillar 1 rules
As Published: 2006
main BIPRU firm Pillar 1 rules
88 GENPRU 2.1.40 R (Variable capital requirement for BIPRU firms ), GENPRU 2.1.41 R ( Base capital resources requirement for BIPRU firms ), GENPRU 2.1.48 R (Table: Base capital resources requirement f…
index-linked contract
As Published: 2007
index-linked contract
67 a linked long-term contract conferring index-linked benefits .
motor vehicle liability insurance business
As Published: 2002
motor vehicle liability insurance business
general insurance business of class 10, other than: (a) carrier's liability; (b) pure reinsurance of that class. 7…
individual member
As Published: 2001
individual member
a member , or former member , who is a natural person . 5…
minimum capital requirement
As Published: 2004
minimum capital requirement
24 an amount of capital resources that a firm must hold as set out in GENPRU 2.1.24 R and GENPRU 2.1.25 R 40 .
UK pure reinsurer
As Published: 2009
UK pure reinsurer
37 a pure reinsurer whose head office is in the United Kingdom .
non-margined transaction
As Published: 2014
non-margined transaction
56 a transaction executed by a firm : (a) for, or on behalf of, a client in relation to MiFID business and/or designated investment business ; and (b) which is not a margined transaction .
FUND 10 Annex 1 National private placement notification
As Published: 2013
FUND 10 Annex 1 National private placement notification
…
PRA-regulated Activities Order
As Published: 2013
PRA-regulated Activities Order
114 the Financial Services and Market Act 2000 (PRA-regulated Activities) Order 2013 (SI 2013/556).
skilled person
As Published: 2001
skilled person
a person appointed to make a report required by section 166 (Reports by skilled persons) or section 166A (Appointment of skilled person to collect and update information) of the Act for provision to t…
limited partnership scheme
As Published: 2013
limited partnership scheme
45 (as defined in section 235A(5) of the Act (Contractual schemes)) a collective investment scheme which satisfies the conditions in section 235A(6) and which is authorised for the purposes of the Act…
specific risk position risk adjustment
As Published: 2013
specific risk position risk adjustment
(in BIPRU ) 121 224 a position risk adjustment for specific risk including any such position risk adjustment as applied under BIPRU 7.6.8 R (Table: Appropriate position risk adjustment).
field representative
As Published: 2001
field representative
an appointed representative or, where applicable, a tied agent 30 , or an employee of the firm (or of its appointed representative or, where applicable, its tied agent 30 ), whose normal fixed place o…
third-country SMCR banking firm
As Published: 2018
third-country SMCR banking firm
82 a firm identified as a third-country SMCR banking firm in the decision tree in SYSC 23 Annex 1 (Definition of SMCR firm and different types of SMCR firms) and Part Four of that Annex.