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CBG
As Published: 2014
CBG
157 the Office of Fair Trading's Credit Brokers and Intermediaries Guidance.
elective professional client
As Published: 2007
elective professional client
39 a client categorised as an elective professional client in accordance with COBS 3.5 (Professional clients).
master-feeder agreement
As Published: 2011
master-feeder agreement
75 (in COLL ) a written agreement between the management company of a master UCITS and the management company of a feeder UCITS in accordance with COLL 11.3.2 R (1) (Master-feeder agreement and intern…
MCD creditor
As Published: 2015
MCD creditor
99 an MCD mortgage lender or an MCD article 3(1)(b) creditor . [Note: article 4(2) of the MCD ]…
relevant competent authorities
As Published: 2004
relevant competent authorities
23 (in relation to a financial conglomerate ) those competent authorities which are, or which have been appointed as, relevant competent authorities in relation to that financial conglomerate under Ar…
arranging deals in contracts of insurance written at Lloyd's
As Published: 2001
arranging deals in contracts of insurance written at Lloyd's
4 the regulated activity , specified in article 58 of the Regulated Activities Order (Arranging deals in contracts of insurance written at Lloyd's), carried on by the Society of Lloyd's of arranging d…
lower tier two capital resources
As Published: 2004
lower tier two capital resources
13 the sum calculated at stage H of the calculation in the capital resources table (Lower tier two capital) 22 .
Prospectus Regulation
As Published: 2017
Prospectus Regulation
158 Regulation (EU) No 2017/1129 of the European Parliament and of the Council of 14 June 2017 on the prospectus to be published when securities are offered to the public or admitted to trading on a r…
client money distribution and transfer rules
As Published: 2017
client money distribution and transfer rules
212 CASS 7A .
reversion mediation activity
As Published: 2006
reversion mediation activity
42 any of the following regulated activities : (a) arranging (bringing about) a home reversion plan (article 25B(1)); (b) making arrangements with a view to a home reversion plan (article 25B(2)); (c)…
total amount of credit
As Published: 2013
total amount of credit
(1) 67 55 (in CONC ) the credit limit or the total sums made available under a regulated credit agreement . (2) (in MCOB ) the ceiling or the total sums made available under an MCD credit agreement .
Motor Insurers' Information Centre
As Published: 2002
Motor Insurers' Information Centre
the information centre appointed to meet the United Kingdom's obligations under article 23 of the Consolidated Motor Insurance Directive 71 (Information Centres). 7…
simplified ILAS waiver
As Published: 2009
simplified ILAS waiver
83 a waiver permitting an ILAS BIPRU firm to operate simplified ILAS .
designated senior management function
As Published: 2015
designated senior management function
98 a controlled function that has been designated by the FCA or the PRA as a senior management function under section 59 of the Act (Approval for particular arrangements).
SUP 11 Annex 1 Summary of notification requirements
As Published: 2004
SUP 11 Annex 1 Summary of notification requirements
…
chair of the with-profits committee function
As Published: 2016
chair of the with-profits committee function
(for certain Solvency II firms ) FCA controlled function CF 2b in Part 2 of the table of FCA controlled functions , described more fully in SUP 10A.6.15BR .
option PRR
As Published: 2006
option PRR
29 the part of the market risk capital requirement calculated in accordance with BIPRU 7.6 (Option PRR) or, in relation to a particular position, the portion of the overall option PRR attributable to…
Immigration Regulations
As Published: 2014
Immigration Regulations
133 the Immigration Act 2014 (Bank Account) Regulations 2014(SI 2014/3085) 137 .