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regulated lifetime mortgage contract
As Published: 2003
regulated lifetime mortgage contract
14 a regulated mortgage contract which is a lifetime mortgage .
introducer
As Published: 2001
introducer
an individual appointed by a firm , 68 an appointed representative or, where applicable, a tied agent 68 , to carry out in the course of designated investment business either or both of the following…
standardised credit risk exposure class
As Published: 2006
standardised credit risk exposure class
45 (in relation to the standardised approach to credit risk) one of the classes of exposure set out in BIPRU 3.2.9R (Exposure classes).
unit trust scheme
As Published: 2001
unit trust scheme
(as defined in section 237(1) of the Act (Other definitions)) a collective investment scheme under which the property in question is held on trust for the participants , except that it does not includ…
reversion administrator
As Published: 2006
reversion administrator
42 a firm with permission (or which ought to have permission ) for administering a home reversion plan .
SUP 16 Annex 41A Payment accounts report
As Published: 2016
SUP 16 Annex 41A Payment accounts report
…
BIPRU 3 Annex 2 Regional governments and local authorities eligible for the treatment in BIPRU 3.4.15R
As Published: 2007
BIPRU 3 Annex 2 Regional governments and local authorities eligible for the treatment in BIPRU 3.4.15R
…
carried interest
As Published: 2013
carried interest
148 a share in the profits of the AIF accrued to the AIFM as compensation for the management of the AIF , and excluding any share in the profits of the AIF accrued to the AIFM as a return on any inves…
reduced net underwriting position
As Published: 2006
reduced net underwriting position
46 the net underwriting position as adjusted under BIPRU 7.8.27 R (Calculating the reduced net underwriting position).
OECD state guaranteed issuer
As Published: 2005
OECD state guaranteed issuer
19 an issuer of debt securities whose obligations in relation to those securities have been guaranteed by a member state of the OECD .
unrestricted-use credit agreement
As Published: 2013
unrestricted-use credit agreement
52 a credit agreement which is not a restricted-use credit agreement .
risk factors
As Published: 2005
risk factors
(in PR ) (as defined in the PD Regulation ) a list of risks which are specific to the situation of the issuer and/or the securities and which are material for taking investment decisions. 31…
intra-group liquidity modification
As Published: 2009
intra-group liquidity modification
86 a modification to the overall liquidity adequacy rule of the kind described in BIPRU 12.8.7G.
professional client
As Published: 2006
professional client
a client that is either a per se professional client or an elective professional client (see COBS 3.5.1 R ). 46 [Note: article 4(1)(12) of MiFID ]. 46…
undertaking
As Published: 2001
undertaking
(as defined in section 1161(1) of the Companies Act 2006 28 (Meaning of "undertaking" and related expressions)): (a) a body corporate or partnership ; or (b) an unincorporated association carrying on…
indirect client
As Published: 2013
indirect client
121 as defined in article (1)(a) of the EMIR L2 Regulation .
modified report
As Published: 2012
modified report
78 (in LR ) an accountant's or auditor's report: (a) in which the opinion is modified; or (b) which contains an emphasis-of-matter paragraph.
payment institution
As Published: 2009
payment institution
71 231 an authorised payment institution , an EEA authorised payment institution or a small payment institution . [Note: articles 4(4) and 26(3) of the Payment Services Directive ]…
clearing arrangement mandatory prudent segregation
As Published: 2014
clearing arrangement mandatory prudent segregation
166 the requirement under CASS 7.13.73 R on a firm using the normal approach to segregate an amount of money as client money .
class 1 transaction
As Published: 2005
class 1 transaction
(in LR and FEES 35 ) a transaction classified as a class 1 transaction under LR 10 . 31…