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claims management company
As Published: 2019
claims management company
228 a person carrying on a regulated claims management activity in Great Britain .
non-profit fund
As Published: 2004
non-profit fund
13 a long-term insurance fund which is not a with-profits fund .
MCD article 3(1)(b) creditor
As Published: 2015
MCD article 3(1)(b) creditor
99 a firm with permission for entering into a regulated credit agreement as lender which, by way of business and for remuneration (which may take a pecuniary form or any other agreed form of financial…
individual liquidity guidance
As Published: 2009
individual liquidity guidance
(1) [deleted] 184 179 (2) (in FPCOB 15 ) guidance given to a firm about the amount, quality and funding profile of liquidity resources that the FCA thinks the firm should hold at all times under FPCOB…
regulatory body
As Published: 2001
regulatory body
137 (1) (except in DTR ) any authority, body or person having, or who has had, responsibility for the supervision or regulation of any regulated activities or other financial services, whether in the…
with-profits assets
As Published: 2005
with-profits assets
assets in a with-profits fund , except those meeting liabilities in respect of non-profit insurance business . 27…
financial sector entity
As Published: 2013
financial sector entity
any of the following: 142 (a) a financial sector entity as defined in article (4)(1)(27) of the UK CRR ; 142 (b) a MIFIDPRU investment firm ; or 142 (c) an ancillary services undertaking included in t…
TCFD Guidance on Scenario Analysis for Non-Financial Companies
As Published: 2020
TCFD Guidance on Scenario Analysis for Non-Financial Companies
97 the document entitled “Guidance on Scenario Analysis for Non-Financial Companies” published in October 2020 by the Task Force on Climate-related Financial Disclosures, available at: https://www.fsb…
AIFMD level 2 regulation
As Published: 2013
AIFMD level 2 regulation
the UK version of 154 96 Commission delegated regulation (EU) No 231/2013 supplementing Directive 2011/16/EU of the European Parliament and of the Council with regard to exemptions, general operating…
survivor
As Published: 2015
survivor
135 has the meaning given in section 76 of the Pension Schemes Act 2015 which, for a member of a pension scheme , means a person who has survived the member and has a right to future benefits, or is e…
client money (insurance) distribution rules
As Published: 2004
client money (insurance) distribution rules
17 the rules in CASS 5.6 (Client money distribution).
supplier
As Published: 2013
supplier
119 (a) the person referred to as the supplier in the definitions of borrower-lender agreement , borrower-lender-supplier agreement and restricted-use credit agreement ; and (b) in relation to a credi…
relevant financial undertaking
As Published: 2001
relevant financial undertaking
209 any of the following: (1) an investment firm ; (2) a credit institution ; (3) a financial institution ; (4) an ancillary services undertaking ; or (5) a tied agent .
PRA Rulebook
As Published: 2016
PRA Rulebook
145 the PRA’s Rulebook of rules and guidance. Formerly the PRA Handbook . Available at the universal resource locator: http://www.prarulebook.co.uk/…
CASS 11 resolution pack
As Published: 2014
CASS 11 resolution pack
157 those documents and records specified in CASS 11.12.4 R .
IBSA Regulations
As Published: 2017
IBSA Regulations
151 the Investment Bank Special Administration Regulations 2011 (SI 2011/245).
claims amount
As Published: 2004
claims amount
27 an amount, as defined in INSPRU 1.1.47 R 48 , used in the calculation of the general insurance capital requirement .
counterparty risk
As Published: 2011
counterparty risk
118 (in COLL and FUND 148 ) the risk of loss for a UCITS or an AIF 148 resulting from the fact that the counterparty to a transaction may default on its obligations prior to the final settlement of th…
capital redemption
As Published: 2001
capital redemption
(in relation to a class of contract of insurance ) capital redemption contracts where effected or carried out by a person who does not carry on a banking business, and otherwise carries on the regulat…