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excess spread
As Published: 2006
excess spread
34 (for the purposes of BIPRU 9 (Securitisation), in relation to a securitisation (within the meaning of paragraph (2) of the definition of securitisation) and in accordance with Part 1 of Annex IX of…
SUP 16 Annex 35A Close Links Monthly Report
As Published: 2013
SUP 16 Annex 35A Close Links Monthly Report
…
CONRED 2 Annex 8 Initial letter requesting information/enclosing questionnaire
As Published: 2013
CONRED 2 Annex 8 Initial letter requesting information/enclosing questionnaire
…
MiFID RTS 10
As Published: 2017
MiFID RTS 10
118 Commission Delegated Regulation (EU) 2017/573 of 6 June 2016 supplementing MiFID with regard to regulatory technical standards on requirements to ensure fair and non-discriminatory co-location and…
stocks and shares component
As Published: 2001
stocks and shares component
a qualifying investment as prescribed in paragraph 7 of the ISA Regulations . 5…
FCA candidate
As Published: 2013
FCA candidate
152 a person in respect of whom an application is made for approval under section 59 of the Act (Approval for particular arrangements) of the performance of an FCA controlled function .
accountable higher management function
As Published: 2015
accountable higher management function
123 (in APER ) any accountable function that is: (a) 125 an FCA controlled function that is a significant-influence function 125 ; or (b) 125 a PRA controlled function .
article 3(1)(b) credit agreement
As Published: 2015
article 3(1)(b) credit agreement
118 a credit agreement : (a) under which the person to whom the credit is provided is a consumer , (b) the purpose of which is to acquire or retain property rights in land or in an existing or project…
regulated sale and rent back mediation activity
As Published: 2009
regulated sale and rent back mediation activity
76 any of the following regulated activities : (a) arranging (bringing about) regulated sale and rent back agreements (article 25E(1)); (b) making arrangements with a view to regulated sale and rent b…
CCR internal model method permission
As Published: 2006
CCR internal model method permission
156 an Article 129 implementing measure , Article 129 permission , a requirement or a waiver that requires a BIPRU firm or a CAD investment firm to use the CCR internal model method…
home finance providing activity
As Published: 2006
home finance providing activity
8 any of the regulated activities of: (a) entering into a regulated mortgage contract ; (aa) entering into a regulated sale and rent back agreement ; 19 (b) entering into a home purchase plan ; (c) en…
SRB intermediary
As Published: 2010
SRB intermediary
89 a firm with permission (or which ought to have permission ) to carry on a regulated sale and rent back mediation activity .
investment advice
As Published: 2017
investment advice
150 the provision of personal recommendations to a client , either upon the client’s request or at the initiative of the firm , in respect of one or more transactions relating to designated investment…
over the counter
As Published: 2001
over the counter
(in relation to a transaction in an investment ) not on-exchange . 4…
EMIR
As Published: 2012
EMIR
79 Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories, sometimes referred to as the "European Markets Infrastructure Regulation".
flat-fee charge
As Published: 2015
flat-fee charge
88 a charge used by an operator of a qualifying scheme which is a specified charge for a period of time and which is not calculated by reference to member's contributions or accrued rights.
MiFID Regulation
As Published: 2006
MiFID Regulation
39 Commission Regulation (EC) 1287/2006 implementing Directive 2004/39/EC of the European Parliament and of the Council as regards organisational requirements and operating conditions for investment f…
benchmark contributor
As Published: 2018
benchmark contributor
74 (1) a third country benchmark contributor ; or (2) a UK benchmark contributor . [Note: neither acting as a benchmark contributor nor contributing input data to a BMR benchmark administrator is a re…
MiFID/MiFIR requirements
As Published: 2017
MiFID/MiFIR requirements
118 any of the requirements applicable to an RIE or an applicant to become an RIE imposed by MiFIR and any directly applicable regulation made under MiFID or MiFIR .