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technical provision
As Published: 2001
technical provision
(a) (for a firm which is not a Solvency II firm ) a technical provision established in accordance with the Insurance Company – Technical Provisions part of the PRA Rulebook. 72 65 (b) (for a Solvency…
threshold condition
As Published: 2001
threshold condition
(in relation to a regulated activity ) any of the conditions set out in or under Schedule 6 to the Act (Threshold conditions), including the additional conditions in the Financial Services and Markets…
relevant sovereign debt
As Published: 2019
relevant sovereign debt
197 a debt issuance, issued by or on behalf of: (a) the government of the United Kingdom ; (b) the Scottish Administration; (c) the Executive Committee of the Northern Ireland Assembly; (d) the Nation…
upper tier three capital
As Published: 2006
upper tier three capital
19 an item of capital that is specified in stage O of the capital resources table (Upper tier three).
regulatory costs
As Published: 2003
regulatory costs
the periodic fees payable to the FCA 177 by a participant firm in accordance with FEES 4 (Periodic fees) 36 .
limitation
As Published: 2001
limitation
2 a limitation incorporated in a Part 4A permission 104 under section 55E(5) 104 of the Act (Giving permission): the FCA), section 55F(4) of the Act (Giving permission: the PRA) 104 or section 55J(10)…
EMIR requirements
As Published: 2013
EMIR requirements
83 requirements imposed under EMIR and any regulation made under it.
Distance Marketing Regulations
As Published: 2003
Distance Marketing Regulations
12 17 The Financial Services (Distance Marketing) Regulations 2004 (SI 2004/2095). 19…
client money resource
As Published: 2014
client money resource
166 the aggregate balance on the firm's client bank accounts (see CASS 7.16.8 R ).
housing disrepair claim
As Published: 2019
housing disrepair claim
44 a claim of the description specified in article 89F(2)(e) of the Regulated Activities Order .
employee benefit consultant
As Published: 2010
employee benefit consultant
65 a person that gives advice, or provides services to, an employer in connection with a group personal pension scheme or group stakeholder pension scheme provided, or to be provided, by the employer…
capital conservation buffer
As Published: 2014
capital conservation buffer
162 (in accordance with article 128(1) of CRD (Definitions)) the amount of common equity tier 1 capital a firm must calculate in line with IFPRU 10.2 .
statutory notice
As Published: 2001
statutory notice
a warning notice , decision notice or supervisory notice . 5…
maxi-ISA
As Published: 2001
maxi-ISA
3 an ISA which includes a stocks and shares component and may also include other qualifying investments such as: (a) a cash component ; (b) an insurance component ; as prescribed in paragraphs 7, 8 an…
simplified ILAS BIPRU firm
As Published: 2009
simplified ILAS BIPRU firm
84 an ILAS BIPRU firm that, in accordance with the procedures in BIPRU 12 (Liquidity), is using the simplified ILAS .
third-country countercyclical buffer authority
As Published: 2014
third-country countercyclical buffer authority
60 the authority of a third country empowered by law or regulation with responsibility for setting the countercyclical buffer rate for that third country .
incoming EEA AIFM branch
As Published: 2013
incoming EEA AIFM branch
114 an incoming EEA firm which is an AIFM and exercising its right to establish a branch under AIFMD .
market making strategy
As Published: 2018
market making strategy
126 a strategy undertaken by a person where: (a) the person is a member or participant of one or more trading venues ; (b) the person’s strategy, when dealing on own account , involves posting firm, s…
MiFID RTS 23
As Published: 2017
MiFID RTS 23
118 Commission Delegated Regulation (EU) No 2017/585 of 14 July 2016 supplementing MiFIR with regard to regulatory technical standards for the data standards and formats for financial instrument refer…