Search Result
CIS stakeholder product
As Published: 2004
CIS stakeholder product
26 the stakeholder product specified by regulations 5 (units in certain collective investment schemes) and 7 of the Stakeholder Regulations .
issue
As Published: 2007
issue
(in relation to units ): 66 (1) (except in 66 EG 14 66 ) the issue of new units by the trustee of an AUT , the depositary of an ACS 112 or by an ICVC ; (2) (in 66 EG 14 66 ): 66 (a) an issue in accord…
most important financial sector
As Published: 2004
most important financial sector
154 the financial sector , being either the insurance sector or the banking and investment services sector , which has 154 the largest average referred to in the box titled Threshold Test 2 in the fin…
energy
As Published: 2001
energy
coal, electricity , natural gas (or any by-product or form of any of them), 50 oil or biofuel . 50…
approved money-market instrument
As Published: 2008
approved money-market instrument
57 (in accordance with COLL 5.2.7F R ) a money-market instrument which is normally dealt in on the money market, is liquid and has a value which can be accurately determined at any time.
deposit acceptors’ contribution class
As Published: 2018
deposit acceptors’ contribution class
119 class 6 in FEES 6 Annex 3AR , to which the FSCS may allocate a compensation costs levy or specific costs levy allocated to the retail pool .
CASS large firm
As Published: 2010
CASS large firm
110 has the meaning in CASS 1A.2.7 R (CASS firm types).
CASS large debt management firm internal client money reconciliation
As Published: 2014
CASS large debt management firm internal client money reconciliation
157 the internal client money reconciliation that CASS large debt management firms are obliged to undertake pursuant to CASS 11.11.13 R to CASS 11.11.21 R .
temporary product intervention rule
As Published: 2017
temporary product intervention rule
79 a rule made under sections 137D and 138M of the Act .
real estate market adjustment ratio
As Published: 2004
real estate market adjustment ratio
29 has the meaning set out, in relation to the resilience capital requirement , in 46 INSPRU 3.1.21R 46 .
full credit institution
As Published: 2002
full credit institution
a credit institution that falls within paragraph (1) 4 (a) 35 of the definition of credit institution .
MCD credit intermediation activity
As Published: 2015
MCD credit intermediation activity
99 the activity of acting as an MCD mortgage credit intermediary or an MCD article 3(1)(b) credit intermediary . [Note: article 4(5) and (21) of the MCD ]…
discounting
As Published: 2001
discounting
discounting or deductions to take account of investment income as set out in paragraph 48 of the insurance accounts rules . 3…
convertible
As Published: 2006
convertible
(for the purposes of MIFIDPRU 256 ) a security which gives the investor the right to convert the security into a share at an agreed price or on an agreed basis.
self-certified sophisticated investor
As Published: 2022
self-certified sophisticated investor
221 a person who meets the requirements set out in article 23A of the Promotion of Collective Investment Schemes Order , in article 50A of the Financial Promotion Order 214 or in COBS 4.12B.40R 214 .
reversion intermediary
As Published: 2006
reversion intermediary
42 a firm with permission (or which ought to have permission ) to carry on a reversion mediation activity .
margin lending transaction
As Published: 2006
margin lending transaction
has the meaning in point (10) of article 3 of the SFTR . 149…
end client
As Published: 2017
end client
119 the person or group of persons at the end of the supply chain.