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CIU look through method
As Published: 2006
CIU look through method
48 one of the standard CIU look through method or the modified CIU look through method .
transaction report
As Published: 2001
transaction report
a report of a transaction which meets the requirements of SUP 17.4.1 EU .1 R and SUP 17.4.2 R (Information to appear in transaction reports). 29…
insurance group
As Published: 2004
insurance group
32 (1) an insurance parent undertaking and its related undertakings ; or 32 (2) a participating insurance undertaking (not within (1)) and its related undertakings .
holding company
As Published: 2001
holding company
(as defined in section 1159(1) 16 of the Companies Act 2006 (Meaning of "subsidiary" etc) 16 (in relation to another body corporate ("S")) a body corporate which: (a) holds a majority of the voting ri…
external AIFM
As Published: 2013
external AIFM
85 (in accordance with regulation 4(3)(a) of the AIFMD UK regulation ) an AIFM appointed by, or on behalf of, an AIF and which, through that appointment, is responsible for managing the AIF .
advising on a home finance transaction
As Published: 2006
advising on a home finance transaction
32 any of the regulated activities of advising on regulated mortgage contracts , advising on a home purchase plan , advising on a home reversion plan or advising on a regulated sale and rent back agre…
admission or admission to listing
As Published: 2005
admission or admission to listing
(in LR ) admission of securities to the official list . 23…
protection seller
As Published: 2006
protection seller
(in BIPRU ) 115 43 43 (in relation to a credit derivative and in accordance with paragraph 8 of Annex I of the Capital Adequacy Directive (Calculating capital requirements for position risk)) the pers…
general rule-making powers
As Published: 2013
general rule-making powers
84 (1) In the FCA Handbook section 137A of the Act .
controlled function
As Published: 2001
controlled function
a function, relating to the carrying on of a regulated activity by a firm , which is specified under section 59 of the Act (Approval for particular arrangements).by either the FCA (in the table of FCA…
advanced prudential calculation approach permission
As Published: 2006
advanced prudential calculation approach permission
37 one of the following: (a) an IRB permission ; or (b) an AMA permission ; or (c) a VaR model permission ; or (d) a CAD 1 model waiver ; or (e) a master netting agreement internal models approach per…
specialist securitised derivative
As Published: 2005
specialist securitised derivative
(in LR ) a securitised derivative which because of its nature is normally bought and traded by a limited number of investors who are particularly knowledgeable in investment matters. 34…
recovery capacity
As Published: 2015
recovery capacity
138 the capability of an RRD institution to restore its financial position following a significant deterioration. [Note: article 2(1)(103) of RRD ]…
non-EEA feeder AIF
As Published: 2014
non-EEA feeder AIF
57 a UK AIF or an EEA AIF that is a feeder AIF , the master AIF of which is a non-EEA AIF or is managed by a non-EEA AIFM .
Seventh Company Law Directive
As Published: 2001
Seventh Company Law Directive
the Council Directive of 13 June 1983 on consolidated accounts (No 83/349/EEC). 5…
post
As Published: 2001
post
5 (in relation to sending a document by post) sending pre-paid by a postal service which seeks to deliver documents by post within the United Kingdom no later than the next working day in all or the m…