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public sector issuer
As Published: 2005
public sector issuer
27 states and their regional and local authorities, state monopolies , state finance organisations , public international bodies , statutory bodies and OECD state guaranteed issuers .
property-linked benefits
As Published: 2004
property-linked benefits
25 benefits other than index-linked benefits provided for under a linked long-term contract of insurance .
CCAR 2010
As Published: 2014
CCAR 2010
157 Consumer Credit (Advertisements) Regulations 2010, SI 2010/1970.
core business lines
As Published: 2015
core business lines
171 business lines and associated services which represent material sources of revenue, profit or franchise value for an RRD institution or an RRD group . [Note: article 2(1)(36) of RRD ]…
rebalancing of the portfolio
As Published: 2011
rebalancing of the portfolio
99 (in COLL and in accordance with article 2(1) of the UCITS implementing Directive No 2) means a significant modification of the composition of the scheme property of a UCITS scheme or the portfolio…
MCD exempt overdraft loan
As Published: 2015
MCD exempt overdraft loan
99 a regulated mortgage contract or an article 3(1)(b) credit agreement in the form of an overdraft facility and where the credit has to be repaid within one month. [Note: articles 3(2)(d) and 4(3), (…
assistance
As Published: 2001
assistance
4 (in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph 18 of Part I of Schedule 1 to the Regulated Activities Order (Contracts of general insu…
category B2 firm
As Published: 2009
category B2 firm
94 a category B firm whose permission does not include dealing as principal ; and is not subject to a requirement preventing the holding or controlling of client money or custody assets .
relevant pension scheme
As Published: 2001
relevant pension scheme
a pension scheme or an additional voluntary contribution . 60…
ISA Regulations
As Published: 2001
ISA Regulations
the Individual Savings Account Regulations 1998 (SI 1998/1870). 5…
dilution levy
As Published: 2001
dilution levy
a charge of such amount or at such rate as is determined by 3 the authorised fund manager of a single-priced authorised fund 32 to be made for the purpose of reducing the effect of dilution .
periodic information
As Published: 2007
periodic information
46 the information identified in the table in COBS 16 Annex 2R 52 , and if the client has not elected to receive trade confirmation information on a transaction by transaction basis under COBS 16.3.3…
client-specific safe custody asset record
As Published: 2014
client-specific safe custody asset record
166 a firm 's internal record or account identifying each of the particular safe custody assets that the firm holds for each particular client (including those safe custody assets deposited by the fir…
relevant articles
As Published: 2007
relevant articles
52 (in REC ): (1) Articles 17 and 19 of the Market Abuse Regulation ; 162 (2) Articles 3, 5, 7, 8, 10, 14 and 16 of the Prospectus Directive ; (3) Articles 4 to 6, 14, 16 to 19 and 30 of the Transpare…
aircraft liability
As Published: 2001
aircraft liability
4 (in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph 11 of Part I of Schedule 1 to the Regulated Activities Order (Contracts of general insu…
repayment mortgage
As Published: 2003
repayment mortgage
14 a regulated mortgage contract under which the customer is obliged to make payments of interest and capital which are designed to repay the mortgage in full 111 over the stated term.
directive friendly society
As Published: 2001
directive friendly society
a friendly society other than a non-directive friendly society . 3…