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RAP regulations
As Published: 2011
RAP regulations
205 the Recognised Auction Platforms Regulations 2011 (SI 2011/2699).
new business customer
As Published: 2021
new business customer
87 a prospective customer for a policy where the policy being taken out is not a renewal . For the purposes of this definition, renewal has the same meaning as in ICOBS 6B .
non-proportional reinsurance treaty
As Published: 2004
non-proportional reinsurance treaty
13 see proportional reinsurance treaty .
regulated lifetime mortgage contract
As Published: 2003
regulated lifetime mortgage contract
14 a regulated mortgage contract which is a lifetime mortgage .
introducer
As Published: 2001
introducer
an individual appointed by a firm , 68 an appointed representative or, where applicable, a tied agent 68 , to carry out in the course of designated investment business either or both of the following…
BIPRU 1 Annex 2D Application form to apply the IRB approach
As Published: 2007
BIPRU 1 Annex 2D Application form to apply the IRB approach
…
unit trust scheme
As Published: 2001
unit trust scheme
(as defined in section 237(1) of the Act (Other definitions)) a collective investment scheme under which the property in question is held on trust for the participants , except that it does not includ…
eligible ECAI
As Published: 2006
eligible ECAI
(a) [deleted] 156 101 (b) [deleted] 156 101 (c) [deleted] 156 101 (d) (in MIPRU ) an ECAI listed in the table in MIPRU 4.2E.14 R . 101…
reversion administrator
As Published: 2006
reversion administrator
42 a firm with permission (or which ought to have permission ) for administering a home reversion plan .
SUP 16 Annex 41A Payment accounts report
As Published: 2016
SUP 16 Annex 41A Payment accounts report
…
pensions dashboard service
As Published: 2022
pensions dashboard service
214 means a qualifying pensions dashboard service or the MaPS pensions dashboard service .
BIPRU 3 Annex 2 Regional governments and local authorities eligible for the treatment in BIPRU 3.4.15R
As Published: 2007
BIPRU 3 Annex 2 Regional governments and local authorities eligible for the treatment in BIPRU 3.4.15R
…
carried interest
As Published: 2013
carried interest
148 a share in the profits of the AIF accrued to the AIFM as compensation for the management of the AIF , and excluding any share in the profits of the AIF accrued to the AIFM as a return on any inves…
OECD state guaranteed issuer
As Published: 2005
OECD state guaranteed issuer
19 an issuer of debt securities whose obligations in relation to those securities have been guaranteed by a member state of the OECD .
MiFID Org Regulation firm
As Published: 2017
MiFID Org Regulation firm
118 a firm to which the MiFID Org Regulation is directly applicable.
unrestricted-use credit agreement
As Published: 2013
unrestricted-use credit agreement
52 a credit agreement which is not a restricted-use credit agreement .
pension commencement lump sum
As Published: 2019
pension commencement lump sum
179 has the meaning in Part 1 of Schedule 29 to the Finance Act 2004. [Note: http://www.legislation.gov.uk/ukpga/2004/12/schedule/29/part/1 ]…
ESMA MAR delayed disclosure guidelines
As Published: 2017
ESMA MAR delayed disclosure guidelines
123 ESMA’s guidelines on ‘Delay in the disclosure of inside information’ (ESMA 2016/1478) dated 20 October 2016 137 .
PPI claims management fee cap
As Published: 2021
PPI claims management fee cap
the provisions in sections 29 and 31of the Financial Guidance and Claims Act 2018 (see CMCOB 5.1 ). 209…
third country competent authority
As Published: 2006
third country competent authority
26 a regulatory body of a state or territory other than the United Kingdom 86 .