Related provisions for BIPRU 7.8.4

81 - 87 of 87 items.

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

CASS 7A.2.4AGRP
(1) 1Under EMIR, where a firm that is a clearing member4 of an authorised central counterparty defaults, the authorised central counterparty may:4(a) portclient positions where possible; and(b) after the completion of the default management process:(i) return any balance due directly to those clients for whom the positions are held, if they are known to the authorised central counterparty; or(ii) remit any balance to the firm for the account of its clients if the clients are
SUP 16.12.2GRP
(1) Principle 4 requires firms to maintain adequate financial resources. The Interim Prudential sourcebooks, BIPRU,37GENPRU and IFPRU37 set out the FCA's65 detailed capital adequacy requirements. By submitting regular data, firms enable the FCA65 to monitor their compliance with Principle 4 and their prudential requirements.9737979797979737(2) The data items submitted help the FCA65 analyse firms' financial and other conditions and performance and to understand their business.
BIPRU 13.6.40RRP
A firm'sEPE model must meet the operational requirements set out in BIPRU 13.6.41 R to BIPRU 13.6.66 R.[Note: BCD Annex III Part 6 point 16]
BIPRU 7.6.17RRP
A firm must convert its positions into its base currency in accordance with the procedures that apply for whichever of the other PRR charges is appropriate (see BIPRU 7.2.1R(3), BIPRU 7.3.1R(2), BIPRU 7.4.1R(3), BIPRU 7.5.19R(2), BIPRU 7.5.20R(3) and BIPRU 7.7.1R(3)).
SYSC 5.2.49RRP
(1) 3Each of the following is an FCA-specified significant-harm function:(a) approving the deployment of:(i) a trading algorithm or a part of one; or(ii) an amendment to a trading algorithm or a part of one; or(iii) a combination of trading algorithms; and(b) each of the following functions: (i) having significant responsibility for the management of monitoring whether or not a trading algorithm; and (ii) deciding whether or not a trading algorithm;is, or remains, compliant with
SYSC 19A.3.2GRP
SYSC 12.1.13 R (2)(dA) requires the firm to ensure that the risk management processes and internal control mechanisms at the level of any UK consolidation group or non-EEA sub-group of which a firm is a member comply with the obligations set out in this section on a consolidated (or sub-consolidated) basis. In the FCA’s6 view, the application of6 this section at group, parent undertaking and subsidiary undertaking levels in SYSC 19A.3.1R(1) is in line with6 article 109(2) of
COLL 5.2.10BRRP
(1) 7A UCITS scheme may invest in an approved money-market instrument if it is:(a) issued or guaranteed by any one of the following:(i) a central authority of an EEA State or, if the EEA State is a federal state, one of the members making up the federation;(ii) a regional or local authority of an EEA State;(iii) the Bank of England, the European Central Bank or a central bank of an EEA State;(iv) the European Union or the European Investment Bank;(v) a non-EEA State or, in the