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linked long-term
As Published: 2001
linked long-term
(in relation to a contract of insurance ) a long-term insurance contract 24 where the benefits are wholly or partly to be determined by reference to the value of, or the income from, property of any d…
insurance-related capital requirement
As Published: 2004
insurance-related capital requirement
32 a component of the calculation of the ECR for a firm carrying on general insurance business as set out in INSPRU 1.1.76 R to INSPRU 1.1.79 R 52 .
financial sector
As Published: 2004
financial sector
(1) (subject to (2)) one of the banking sector , the insurance sector or the investment services sector . 23 (2) (for the purposes of the definition of financial conglomerate and for any other provisi…
per se professional client
As Published: 2007
per se professional client
46 a client categorised as a per se professional client in accordance with COBS 3.5 .
retail SME
As Published: 2006
retail SME
46 (1) (in relation to the IRB approach ) a small or medium sized entity, an exposure to which may be treated as a retail exposure under BIPRU 4.6.2 R (Definition of retail exposures). (2) (in relatio…
aircraft
As Published: 2001
aircraft
4 (in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph 5 of Part I of Schedule 1 to the Regulated Activities Order (Contracts of general insur…
DISP 1 Annex 1B Complaints publication report
As Published: 2010
DISP 1 Annex 1B Complaints publication report
…
investment manager
As Published: 2007
investment manager
(1) (except in LR ) 64 a person who, acting only on behalf of a client : (a) manages designated investments in an account or portfolio on a discretionary basis under the terms of a discretionary manag…
DTR
As Published: 2005
DTR
45 38 25 the Disclosure Rules and Transparency Rules 55 sourcebook containing the disclosure rules , transparency rules and corporate governance rules . 55…
early amortisation provision
As Published: 2006
early amortisation provision
34 (in accordance with Article 100 of the Banking Consolidation Directive (Securitisation of revolving exposures) and in relation to a securitisation within the meaning of paragraph (2) of the definit…
connected counterparty
As Published: 2006
connected counterparty
48 (for the purpose of BIPRU 10 (Large exposures 108 requirements) and in relation to a firm ) has the meaning set out in BIPRU 10.3.8 R (Connected counterparties), which is in summary a person to who…
e-money float exposure
As Published: 2002
e-money float exposure
(in ELM ) the risks of loss set out in ELM 3.5.3 R (Large exposure risk). 5…
stock lending
As Published: 2001
stock lending
the disposal of a designated investment subject to an obligation or right to reacquire the same or a similar designated investment from the same counterparty. 5…
asset pool
As Published: 2008
asset pool
61 (in RCB ) (as defined in Regulation 1(2) of the RCB Regulations ) an asset pool within the meaning of Regulation 3 of the RCB Regulations .
venture capital firm
As Published: 2001
venture capital firm
a firm whose permission includes a requirement that it must not conduct designated investment business other than venture capital business . 1…
EEA registered tied agent
As Published: 2007
EEA registered tied agent
39 a tied agent of a UK MiFID investment firm that is not an appointed representative and would have been an FSA registered tied agent but for the fact that it does business in an EEA State that permi…