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home finance adviser
As Published: 2006
home finance adviser
8 a firm with permission (or which ought to have permission ) for advising on a home finance transaction .
Consolidated Motor Insurance Directive
As Published: 2010
Consolidated Motor Insurance Directive
113 the European Parliament and Council Directive of 16 September 2009 relating to insurance against civil liability in respect of the use of motor vehicles, and the enforcement of the obligation to i…
Business Order
As Published: 2004
Business Order
10 the Financial Services and Markets Act 2000 (Carrying on Regulated Activities by Way of Business Order) 2001 (SI 2001/1177).
made to; made only to; to whom it is made
As Published: 2007
made to; made only to; to whom it is made
47 a financial promotion is made to a person if it is addressed, whether orally or in legible form, to a particular person or person s (for example where it is contained in a telephone call or letter)…
second charge regulated mortgage contract
As Published: 2015
second charge regulated mortgage contract
133 a regulated mortgage contract which is not a first charge legal mortgage .
international accounting standards
As Published: 2004
international accounting standards
29 means the international accounting standards, within the meaning of EC Regulation No. 1606/2002 of the European Parliament and of the Council of 19 July 2002 on the application of international acc…
MAR 6.6 Size and content of quotes [deleted]
As Published: 2017
MAR 6.6 Size and content of quotes [deleted]
…
non-directive insurer
As Published: 2001
non-directive insurer
an insurer which is not a Solvency II firm . 59…
commodity extended maturity ladder approach
As Published: 2006
commodity extended maturity ladder approach
48 the method of calculating the commodity PRR in BIPRU 7.4.32 R (Extended maturity ladder approach).
SUP 16 Annex 12A Reports from depositaries of authorised funds
As Published: 2016
SUP 16 Annex 12A Reports from depositaries of authorised funds
…
interest rate simplified maturity method
As Published: 2006
interest rate simplified maturity method
52 the method of calculating the part of the interest rate PRR that relates to general market risk set out in BIPRU 7.2.56 R (General market risk calculation: Simplified maturity method).
reinsurance contract
As Published: 2004
reinsurance contract
17 (in COBS 21 , 54 59 ICOBS , 110 CASS 1 , 183 CASS 5 and COMP ) a contract of insurance covering all or part of a risk to which a person is exposed under a contract of insurance .
acknowledgement letter fixed text
As Published: 2014
acknowledgement letter fixed text
111 (1) (in CASS 7 ) the text in the template acknowledgement letters in CASS 7 Annex 2 R, CASS 7 Annex 3 R and CASS 7 Annex 4 R that is not in square brackets. (2) (in CASS 11 ) the text in the templ…
internally managed AIF
As Published: 2013
internally managed AIF
118 (in accordance with regulation 4(3)(b) of the AIFMD UK regulation ) an AIF where the legal form permits internal management and where the AIF's governing body chooses not to appoint an external AI…
offer price
As Published: 2001
offer price
the price at which a person could purchase a unit in a dual-priced authorised fund or a security . 25…
equity release intermediary
As Published: 2006
equity release intermediary
31 a firm with permission (or which ought to have permission ) to carry on equity release mediation activity .
MiFID RTS 14
As Published: 2017
MiFID RTS 14
118 Commission Delegated Regulation (EU) No 2017/572 of 2 June 2016 supplementing MiFIR with regard to regulatory technical standards on the specification of the offering of pre-trade and post-trade d…
Financial Ombudsman Service
As Published: 2001
Financial Ombudsman Service
the scheme provided under Part XVI of the Act (The Ombudsman Scheme) under which certain disputes may be resolved quickly and with minimum formality by an independent person . 2…
oil
As Published: 2001
oil
mineral oil of any description and petroleum gases, whether in liquid or vapour form, including products and derivatives of oil. 4…
significant branch
As Published: 2015
significant branch
130 a branch that would be considered significant in a Host State under article 51(1) of CRD . [Note: article 2(1)(34) of RRD ]…