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Capital Requirements Regulations 2006
As Published: 2006
Capital Requirements Regulations 2006
50 the Capital Requirements Regulations 2006 (SI 2006/3221).
scheme report
As Published: 2001
scheme report
(in SUP 18 ) the report on the terms of an insurance business transfer scheme required by section 109 of the Act (Scheme reports). 4…
key features scheme
As Published: 2005
key features scheme
6 7 a scheme that is not: (a) a simplified prospectus scheme ; (b) a qualified investor scheme ; or (c) a recognised scheme under section 264 of the Act (Schemes constituted in other EEA States). 2…
investment transaction
As Published: 2001
investment transaction
a transaction to buy , sell , subscribe for or underwrite a security or contractually based investment . 5…
regulated activity debt
As Published: 2004
regulated activity debt
an obligation to pay a sum due and payable under an agreement, the making or performance of which constitutes or is part of a regulated activity carried on by an individual who: (a) is, or has been, a…
membership of a Lloyd's syndicate
As Published: 2001
membership of a Lloyd's syndicate
3 the investment , specified in article 86(2) of the Regulated Activities Order , which is a person 's membership (or prospective membership) of a Lloyd's syndicate .
public announcement
As Published: 2001
public announcement
5 any communication made by or on behalf of the issuer or the stabilising manager being a communication made in circumstances in which it is likely that members of the public will become aware of the…
material holding
As Published: 2002
material holding
(1) 40 4 ( for the purposes of ELM ) a holding or position 40 set out in ELM 2.4.17 R (Material holdings). (2) (for the purposes of GENPRU and BIPRU ) has the meaning in GENPRU 2.2.209 R (Deductions f…
European Economic Area
As Published: 2001
European Economic Area
the area established by the agreement on the European Economic Area signed at Oporto on 2 May 1992, as it has effect for the time being and which consists of the EEA States . 4 20…
credit risk capital requirement
As Published: 2006
credit risk capital requirement
48 the part of the capital resources requirement of a BIPRU firm in respect of credit risk, calculated in accordance with GENPRU 2.1.51 R (Calculation of the credit risk capital requirement).
individual counterparty CNCOM
As Published: 2006
individual counterparty CNCOM
52 has the meaning in BIPRU 10.10A.8 R 91 (How to calculate the concentration risk capital component), which is in summary the sum of a firm's individual CNCOMs with respect to its connected counterpa…
overseas firm
As Published: 2001
overseas firm
(1) (in relation to MAR 5 ) a firm which has its registered office (or, if it has no registered office, its head office) outside the United Kingdom excluding an incoming EEA firm . 30 (2) (in any othe…
Insurance market activity
As Published: 2003
Insurance market activity
means a regulated activity relating to contracts of insurance written at Lloyd's. 21…
financial stability information power
As Published: 2010
financial stability information power
44 the FSA's power under section 165A of the Act (Authority's power to require information: financial stability) which, in summary, is a power to require a person to provide information or documents r…
annual information update
As Published: 2005
annual information update
(in PR ) the document referred to in PR 5.2.1 R . 23…
adviser
As Published: 2001
adviser
4 (1) (except in IPRU(INV) 13) 68 an individual who is: a representative , 49 an appointed representative or a tied agent 49 (2) (in IPRU(INV) 13) a financial adviser . 68 17…
Unfair Terms Regulations
As Published: 2003
Unfair Terms Regulations
the Unfair Terms in Consumer Contracts Regulations 1999 (SI 1999/2083), as amended by SI 2001/1186 and SI 2001/3649. 6…