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rolling stock method
As Published: 2014
rolling stock method
135 a method for performing a physical asset reconciliation , as described in CASS 6.6.28 R .
systemically important institution
As Published: 2013
systemically important institution
120 (in accordance with article 3(30) of CRD ) an EEA parent institution , an EEA parent financial holding company , an EEA parent mixed financial holding company or an institution the failure or malf…
regulated sale and rent back activity
As Published: 2009
regulated sale and rent back activity
76 any of the following regulated activities : (a) arranging (bringing about) a regulated sale and rent back agreement (article 25E(1)); (b) making arrangements with a view to a regulated sale and ren…
CONC Sch 3 Fees and other required payment
As Published: 2014
CONC Sch 3 Fees and other required payment
…
other overall responsibility function
As Published: 2015
other overall responsibility function
74 FCA controlled function SMF18 in Part 1 of the table in SUP 10C.4.3R (Table of FCA-designated senior management 75 functions for relevant authorised persons), described more fully in SUP 10C.7.1R .
general stress and scenario testing rule
As Published: 2006
general stress and scenario testing rule
48 (1) (in GENPRU , BIPRU and INSPRU ) GENPRU 1.2.42 R (Stress and scenario tests). (2) (for the purpose of IFPRU ) IFPRU 2.2.37R (Stress and scenario tests).
gross adjusted claims amount
As Published: 2004
gross adjusted claims amount
12 (for the purposes of INSPRU 1.1 20 ) an amount, as defined in INSPRU 1.1.60R 20 to INSPRU 1.1.65G 20 , used in calculating the claims amount .
retail customer
As Published: 2003
retail customer
14 17 22 (in accordance with the meaning of 'consumer' in article 2(d) of the Distance Marketing Directive an individual who is acting for purposes which are outside his trade, business or profession.
additional tier 1 capital
As Published: 2013
additional tier 1 capital
105 as defined in article 61 of the EU CRR .
MiFID
As Published: 2006
MiFID
39 The European Parliament and Council Directive on markets in financial instruments (No. 2004/39/EC). See also MiFID Regulation and MiFID implementing Directive .
GAP contract
As Published: 2015
GAP contract
57 a guaranteed asset protection contract; this is a contract of insurance covering a policyholder , in the event of total loss to a vehicle , against the difference between: (a) the amount claimed un…
market counterparty
As Published: 2001
market counterparty
(for the purposes only of COBS TP 1 (Transitional Provisions in relation to Client Categorisation)) 90 any person classified as a 'market counterparty' under COB on 31 October 2007, in accordance with…
EIS manager
As Published: 2001
EIS manager
(a) (in relation to an EIS managed portfolio ) the investment manager; (b) (in relation to an EIS fund ) the manager of the fund. 4…
arrears
As Published: 2003
arrears
9 (in relation to a regulated mortgage contract or a home purchase plan 32 ) either: (a) a shortfall (equivalent to two or more regular payments) in the accumulated total payments actually made by the…
appropriate position risk adjustment
As Published: 2013
appropriate position risk adjustment
187 (1) (in relation to a position treated under BIPRU 7.6 (Option PRR)) the percentage figure applicable to that position under the table in BIPRU 7.6.8 R (Appropriate Position Risk Adjustment); (2)…
relevant credit agreement
As Published: 2014
relevant credit agreement
132 a credit agreement (within the meaning given by article 60B of the Regulated Activities Order ) other than a regulated mortgage contract or a regulated home purchase plan (within the meaning of th…
Financial Promotion Order
As Published: 2001
Financial Promotion Order
the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (SI 2005/1529) 17 .
CFPPFM
As Published: 2005
CFPPFM
32 the consumer-friendly version of a firm's PPFM , which must be produced pursuant to COBS 20.4.5 R 56 .