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accumulating with-profits policy
As Published: 2004
accumulating with-profits policy
21 a with-profits insurance contract which has a readily identifiable current benefit, whether or not this benefit is currently realisable, which is adjusted by an amount explicitly related to the amo…
self-invested personal pension scheme
As Published: 2006
self-invested personal pension scheme
40 an arrangement which forms all or part of a personal pension scheme , which gives the member the power to direct how some or all of the member's contributions are invested.
recognition requirement
As Published: 2001
recognition requirement
(1) (in relation to a UK RIE 230 ) any of the requirements applicable to that body under the Recognition Requirements Regulations. (2) (in relation to a body applying for recognition as a UK RIE 230 )…
successor
As Published: 2016
successor
151 (in COMP ) a person who has assumed responsibility for liabilities arising from acts or omissions of a relevant person .
approved quasi-derivative
As Published: 2004
approved quasi-derivative
21 a quasi-derivative in respect of which the conditions in 37 INSPRU 3.2.5 R 37 are met.
underlying asset data
As Published: 2021
underlying asset data
94 basic data on asset holdings underlying a TCFD product , including unique security ID such as ISIN, name, holding size, and current price or valuation, as reasonably required by the relevant person…
reportable financial instrument
As Published: 2017
reportable financial instrument
172 in SUP 17A , those financial instruments in article 26(2) of MiFIR , namely: (a) financial instruments which are admitted to trading or are traded on a trading venue for which a request for admiss…
MCD mortgage administrator
As Published: 2015
MCD mortgage administrator
99 (in MCOB 7A MCOB 7A and MCOB 14) a mortgage administrator who administers MCD regulated mortgage contracts .
PRA-authorised person
As Published: 2013
PRA-authorised person
226 as defined in section 2B(5) of the Act , an authorised person who has permission: (a) given under Part 4A of the Act ; or (b) resulting from any other provision of the Act ; to carry on regulated…
CON own funds requirement
As Published: 2001
CON own funds requirement
256 the own funds requirement calculated in accordance with MIFIDPRU 5.7.2R which relates to a concentrated exposure to a client or group of connected clients .
MAR 7 Annex 1 Deferred publication thresholds and delays [deleted]
As Published: 2017
MAR 7 Annex 1 Deferred publication thresholds and delays [deleted]
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non-segregated account
As Published: 2001
non-segregated account
89 (in MIFIDPRU ) an account that is not a segregated account .
minimum levy
As Published: 2001
minimum levy
(in FEES 31 ) the fixed minimum general levy payable by a firm . 3…
operator acting as a PSR fee payer
As Published: 2018
operator acting as a PSR fee payer
94 an operator of a card payment system or an IFR card payment system acting as an acquirer , as a card issuer or as both an acquirer and card issuer in that payment system .
EU Exit Passport Regulations
As Published: 2019
EU Exit Passport Regulations
137 the EEA Passport Rights (Amendment, etc., and Transitional Provisions) (EU Exit) Regulations 2018, SI 2018/1149.
in default
As Published: 2001
in default
the status of being in default following a determination made under COMP 6.3.1 R . 5…
settlement agent
As Published: 2001
settlement agent
a person with or through whom the firm effects settlement of UK -settled or foreign-settled transactions. 5…