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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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MiFID RTS 22
As Published: 2017
MiFID RTS 22
118 Commission Delegated Regulation (EU) 2017/590 of 28 July 2016 supplementing MiFIR with regard to regulatory technical standards for the reporting of transactions to competent authorities.
customer function
As Published: 2001
customer function
286 197 FCA controlled function CF30 in Parts 1 and 2 of the table of FCA controlled functions 197 , described more fully in SUP 10A.10.7 R . 286…
interest rate duration method
As Published: 2006
interest rate duration method
52 the method of calculating the part of the interest rate PRR that relates to general market risk set out in BIPRU 7.2.63 R (General market risk calculation: Duration method).
financial derivative instrument
As Published: 2006
financial derivative instrument
(for the purposes of BIPRU ) 73 23 has the meaning in BIPRU 13.3.3 R (Definition of a financial derivative instrument); the definition is adjusted for the purposes of the definition of counterparty ri…
unlawful disclosure
As Published: 2016
unlawful disclosure
67 the behaviour described in article 10 of the Market Abuse Regulation .
resecuritisation
As Published: 2006
resecuritisation
46 in BIPRU 7 and 9 , a securitisation where the risk associated with an underlying pool of exposures is tranched and at least one of the underlying exposures is a securitisation position . 102 [Note:…
packaged retail and insurance-based investment product
As Published: 2017
packaged retail and insurance-based investment product
154 a product that is: (1) a packaged retail and insurance-based investment product within the meaning of article 4(3) of the PRIIPs Regulation ; and (2) not exempt from the application of the PRIIPs…
entering into a home finance transaction
As Published: 2006
entering into a home finance transaction
31 any of the regulated activities of entering into a regulated mortgage contract , entering into a home purchase plan , entering into a home reversion plan or entering into a regulated sale and rent…
Money Advice Service
As Published: 2011
Money Advice Service
73 the consumer financial education body ( CFEB ) originally 170 established by the FSA under section 6A(1) of the Act (Enhancing public understanding of financial matters etc) (as it had effect befor…
MAR 6.12 Execution price of client orders not matching quotation sizes [deleted]
As Published: 2009
MAR 6.12 Execution price of client orders not matching quotation sizes [deleted]
…
SUP 16 Annex 36A Close Links Annual Report
As Published: 2013
SUP 16 Annex 36A Close Links Annual Report
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designated investment firm
As Published: 2013
designated investment firm
108 an authorised person 108 that has been designated by the PRA under article 3 of the PRA-regulated Activities Order .
debt counsellor
As Published: 2014
debt counsellor
87 a person who has, or ought to have, a Part 4A permission to carry on the regulated activity of debt counselling and who gives advice to borrowers or hirers about the liquidation of debts under cred…
RRD group financial support agreement
As Published: 2015
RRD group financial support agreement
138 an agreement to give financial support to an RRD institution which, at any time after the agreement has been concluded, has infringed an RRD early intervention condition or is likely to infringe o…
Supervisory Liquidity Review Process
As Published: 2009
Supervisory Liquidity Review Process
83 the appropriate regulator's 230 assessment of the adequacy of certain firms ' liquidity resources as described in BIPRU 12.2 and BIPRU 12.5.