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annual statement provisions
As Published: 2006
annual statement provisions
32 (in MCOB ) in relation to a: (a) regulated mortgage contract , MCOB 7.5 ; (b) home purchase plan , MCOB 7.8.3 R to MCOB 7.8.6 R ; and (c) instalment reversion plan , MCOB 9.9.1 R to MCOB 9.9.3R (2)…
MiFID RTS 26
As Published: 2017
MiFID RTS 26
the UK version of 132 118 Commission Delegated Regulation (EU) 2017/582 of 29 June 2016 supplementing MiFIR with regard to regulatory technical standards specifying the obligation to clear derivatives…
incoming data reporting services provider
As Published: 2017
incoming data reporting services provider
150 a data reporting services provider authorised or applying for authorisation under Title V of MiFID 150 in an EEA State , other than the UK , to provide a data reporting service in the UK .
OPS collective investment scheme
As Published: 2001
OPS collective investment scheme
a collective investment scheme the contributions to which consist entirely of assets held for an occupational pension scheme . 4…
prohibited action
As Published: 2016
prohibited action
151 an action which a ring-fenced body is prohibited from taking by an order made under section 142E of the Act .
basic liquid assets requirement
As Published: 2001
basic liquid assets requirement
81 the requirement in MIFIDPRU 6.2.1R for a MIFIDPRU investment firm to hold a minimum amount of core liquid assets .
UCITS remuneration principles
As Published: 2016
UCITS remuneration principles
69 the principles set out in SYSC 19E.2.5R to SYSC 19E.2.27R .
qualifying master LTAF
As Published: 2021
qualifying master LTAF
34 where a feeder LTAF is dedicated to units in a single collective investment scheme which is a second scheme that operates in accordance with the principle of prudent risk spreading (see COLL 15.6.3…
trading desk
As Published: 2001
trading desk
103 an identified group of individuals established by a firm for the joint management of one or more portfolios of trading book positions in accordance with a well-defined and consistent business stra…
risk weighted exposure amount
As Published: 2006
risk weighted exposure amount
130 (1) [deleted] 212 142 142 142 (2) (for an exposure under MIPRU ) the credit risk capital requirement under MIPRU 4.2A.4 R after application of a risk weight . 142…
pension conversion
As Published: 2015
pension conversion
126 a transaction resulting from a decision of a retail client to require the trustees or managers of a pension scheme to: (a) convert safeguarded benefits into different benefits that are flexible be…
benchmark activities
As Published: 2018
benchmark activities
74 the following activities: (1) the regulated activity of administering a benchmark ; or (2) contributing input data to a BMR benchmark administrator . [Note: contributing input data to a BMR benchma…
UK AIF
As Published: 2013
UK AIF
50 an AIF that is: (a) an authorised fund ; or (b) not an authorised fund but has its registered office or head office in the UK ;…
CASS small TP firm
As Published: 2019
CASS small TP firm
230 has the meaning in CASS 14.2.8R (CASS firm types).
certified high net worth investor
As Published: 2016
certified high net worth investor
a person who meets the requirements set out in article 21 of the Promotion of Collective Investment Schemes Order , in article 48 of the Financial Promotion Order or 267 in COBS 4.12B.38R 267 .