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FCA-designated senior management function
As Published: 2015
FCA-designated senior management function
83 an FCA controlled function that is a designated senior management function .
FOS ADR levy
As Published: 2015
FOS ADR levy
86 the amount payable to the FCA by FOS Ltd to which FEES 12 (FOS ADR levy) applies.
net leverage
As Published: 2004
net leverage
13 the ratio of total assets, less those bought under reverse repo arrangements, to total equity.
ultimate EEA mixed financial holding company
As Published: 2013
ultimate EEA mixed financial holding company
49 a mixed financial holding company which has its head office in an EEA State and which is not itself the subsidiary undertaking of another mixed financial holding company , insurance parent undertak…
residual CIS operator
As Published: 2013
residual CIS operator
122 a firm with a Part 4A permission to carry on the activity specified in article 51ZE (Establishing etc. a collective investment scheme) of the Regulated Activities Order .
INSPRU Sch 3 Fees and other requirement payments
As Published: 2006
INSPRU Sch 3 Fees and other requirement payments
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SUP 16 Annex 30 Electronic money: returns
As Published: 2011
SUP 16 Annex 30 Electronic money: returns
…
statutory money purchase illustration
As Published: 2007
statutory money purchase illustration
61 an annual illustration of the contributions made for the benefit of, and the potential benefits due to, a member of a personal pension scheme , which is prepared in accordance with the Personal Pen…
UK RCH
As Published: 2001
UK RCH
a clearing house which is declared by an order made by the Bank of England under section 290 of the Act and for the time being in force to be a recognised clearing house. 98…
home purchase administrator
As Published: 2006
home purchase administrator
8 a firm with permission (or which ought to have permission ) for administering a home purchase plan .
IFPRU 730K firm
As Published: 2013
IFPRU 730K firm
124 has the meaning in IFPRU 1.1.11 R (Types of investment firm: IFPRU 730K firm) which in summary is an IFPRU investment firm that is not a collective portfolio management investment firm , a IFPRU 5…
financial collateral simple method
As Published: 2006
financial collateral simple method
23 the method for calculating the effects of credit risk mitigation described in those parts of BIPRU 5.4 (Financial collateral) that are expressed to apply to that method.
individual savings account
As Published: 2001
individual savings account
an account which is a scheme of investment satisfying the conditions prescribed in the ISA Regulations . 5…
life and annuity
As Published: 2001
life and annuity
(in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph I of Part II of Schedule 1 to the Regulated Activities Order (Contracts of long-term insu…
scheme pension
As Published: 2005
scheme pension
a scheme pension, as defined in paragraph 2 of Schedule 28 to the Finance Act 2004, which is in summary a pension payable until a pension scheme member's death, or until the later of the member's deat…
Capital Requirements Regulations 2006
As Published: 2006
Capital Requirements Regulations 2006
50 the Capital Requirements Regulations 2006 (SI 2006/3221).
dual-regulated firms remuneration principles proportionality rule
As Published: 2015
dual-regulated firms remuneration principles proportionality rule
96 SYSC 19D.3.3R which, in summary, requires a dual-regulated firm to apply the remuneration principles for dual-regulated firms in SYSC 19D proportionate to its size, internal organisation and the na…
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…