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hybrid capital
As Published: 2010
hybrid capital
21 an item of capital that is stated in GENPRU 2.2 as eligible for inclusion at stage B1, B2 or C of the calculation in the capital resources table .
Takeover Code
As Published: 2001
Takeover Code
the City Code on Takeovers and Mergers issued by the Takeover Panel . 3…
PRA-regulated activity
As Published: 2013
PRA-regulated activity
230 a regulated activity specified in an order made under section 22A of the Act or specified pursuant to a power granted in such an order.
EU CRR
As Published: 2013
EU CRR
89 Regulation of the European Parliament and the Council on prudential requirements for credit institutions and investment firms (Regulation (EU) No 575/2013) and amending Regulation (EU) No 648/2012.
pure reinsurer
As Published: 2001
pure reinsurer
5 an insurer whose insurance business is restricted to reinsurance.
annual bonus
As Published: 2004
annual bonus
21 (in relation to a with-profits insurance contract ) a discretionary addition to policy benefits under a with-profits insurance contract made by a long-term insurer as a result of the annual actuari…
financial information table
As Published: 2005
financial information table
(in LR ) financial information presented in tabular form that covers the reporting period set out in LR 13.5.13 R in relation to the entities set out in LR 13.5.14 R , and to the extent relevant LR 13…
pension feeder fund
As Published: 2016
pension feeder fund
149 an AUT or ACS that is a relevant pension scheme and is dedicated to units in a single regulated collective investment scheme .
common platform outsourcing rules
As Published: 2007
common platform outsourcing rules
52 SYSC 8.1.1 R to SYSC 8.1.12 G .
non-authorised counterparty
As Published: 2013
non-authorised counterparty
49 in EG , 58 in relation to EMIR : (a) a financial counterparty which is not an authorised person ; or (b) a non-financial counterparty 58 ; or 58 (c) a third country entity referred to in article 4(…
group liquidity reporting firm
As Published: 2009
group liquidity reporting firm
34 see the definitions of DLG by default , DLG by modification (firm level) , and non-UK DLG by modification (DLG level) . ( Guidance about this definition, and its inter-relation with other related d…
sub-fund
As Published: 2001
sub-fund
(a) (in relation to an authorised fund that is an umbrella 51 51 ) a separate part of the scheme property of that scheme that is pooled separately; (aa) (in relation to an EEA UCITS scheme ) any part…
ADR Directive
As Published: 2015
ADR Directive
120 190 Directive 2013/11/EU of the European Parliament and of the Council of 21 May 2013 on alternative dispute resolution for consumer disputes and amending Regulation (EC) No 2006/2004 and Directiv…
third party prospectus
As Published: 2007
third party prospectus
32 a communication made by a firm if the communication is a prospectus that has been drawn up and published in accordance with the Prospectus Directive and the firm is not responsible under that direc…
image advertising
As Published: 2007
image advertising
62 a communication that consists only of one or more of the following: (a) the name of the firm ; (b) a logo or other image associated with the firm ; (c) a contact point; and (d) a reference to the t…
payer
As Published: 2015
payer
(1) (for the purposes of FEES 9 ) a person who holds a payment account and allows instructions to be given to transfer funds from that payment account, or who gives instructions to transfer funds. 159…
MAR 6.3 Criteria for determining whether an investment firm is a systematic internaliser [deleted]
As Published: 2017
MAR 6.3 Criteria for determining whether an investment firm is a systematic internaliser [deleted]
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manufacturer
As Published: 2017
manufacturer
118 a firm which creates, develops, issues, and/or designs investments , including when advising corporate issuers on the launch of new investments . [Note: recital 15 to the MiFID Delegated Directive…