Search Result
insurance conglomerate
As Published: 2004
insurance conglomerate
a financial conglomerate that is identified in paragraph 4.3 of GENPRU 3 Annex 1 (Types of financial conglomerate) as an insurance conglomerate. 52…
global account
As Published: 2001
global account
the aggregate 17 accounts produced by the Council in accordance with Regulation 8(1) of the Insurance Accounts Directive (Lloyd's Syndicate and Aggregate Accounts) Regulations 2004. 17…
credit reference agency
As Published: 2013
credit reference agency
151 a person providing credit references .
composite firm
As Published: 2004
composite firm
27 a firm that carries on both long-term insurance business and general insurance business .
appropriate actuary
As Published: 2001
appropriate actuary
4 an actuary appointed under PRA Rulebook: Non-Solvency II Firms – Actuarial Requirements 128 (Appointment of an appropriate actuary).
issuing payment instruments
As Published: 2018
issuing payment instruments
153 (in accordance with regulation 2(1) of the Payment Services Regulations ) a payment service by a payment service provider contracting with a payer to provide a payment instrument to initiate payme…
traded life policy
As Published: 2001
traded life policy
a life policy which is to be or has been assigned for value by the policyholder to another person . 3…
transaction-specific advice
As Published: 2001
transaction-specific advice
advice on investments (except P2P agreements) 73 : (a) given in connection with 35 : 35 (i) dealing in investments as principal ; or 35 (ii) dealing in investments as agent ; or 35 (iii) acting as an…
entering into a regulated mortgage contract
As Published: 2003
entering into a regulated mortgage contract
14 16 the regulated activity , specified in article 61(1) of the Regulated Activities Order , which is in summary: entering into a regulated mortgage contract as lender. 17…
RPPD
As Published: 2007
RPPD
55 the Regulatory Guide which contains a statement of the responsibilities of providers and distributors for the fair treatment of customers .
sustainability entity report
As Published: 2023
sustainability entity report
218 (in ESG ) a public report regarding the overall assets managed by a manager in relation to its sustainability in-scope business , produced in accordance with ESG 5.6 .
intermediate broker
As Published: 2001
intermediate broker
(in relation to a transaction in a contingent liability investment ) any person acting in the capacity of an intermediary through whom the firm undertakes that transaction. 5…
media operator
As Published: 2014
media operator
97 a news vendor that receives regulated information from a regulatory information service and then disseminates that information to the public as soon as possible.
marketing group
As Published: 2009
marketing group
66 a group of persons who: (a) are allied together (either formally or informally) for the purposes of marketing packaged products of the group 114 ; and (b) each of whom, if it holds itself out in th…
Insurance Mediation Directive
As Published: 2004
Insurance Mediation Directive
22 the European Parliament and Council Directive of 9 December 2002 on insurance mediation (No 2002/92/EC).
core deposit
As Published: 2016
core deposit
200 core deposits within the meaning of article 2(2) of the Financial Services and Markets Act 2000 (Ring-Fenced Bodies and Core Activities) Order 2014 (SI 2014/1960).