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high net worth mortgage customer
As Published: 2012
high net worth mortgage customer
28 a customer with an annual net income of no less than £300,000 or net assets of no less than £3,000,000, or whose obligations are guaranteed by a person with an income or assets of such amount.
AIF custodial assets
As Published: 2013
AIF custodial assets
101 financial instruments of an AIF that can be: (a) registered in a financial instruments account opened in the depositary's books; or (b) physically delivered to the depositary . [Note: recital 100…
delivery by value
As Published: 2001
delivery by value
a transaction type, described as "delivery by value", used to deliver and receive securities within CREST . 3…
Fourth Company Law Directive
As Published: 2008
Fourth Company Law Directive
34 Council Directive 78/660/EEC on the annual accounts of certain types of companies as amended by, amongst other instruments, Directive 2006/46/EC of the European Parliament and of the Council of 14…
relevant expenditure
As Published: 2001
relevant expenditure
209 (in MIFIDPRU 4 and IPRU(INV) 11 ) relevant expenditure as calculated under MIFIDPRU 4.5.3R .
SYSC Sch 3 Fees and other required payments
As Published: 2004
SYSC Sch 3 Fees and other required payments
…
scheme particulars
As Published: 2001
scheme particulars
a document containing information about a regulated collective investment scheme . 5…
exempt MCD regulated mortgage contract
As Published: 2015
exempt MCD regulated mortgage contract
102 a regulated mortgage contract that is: (a) an MCD exempt bridging loan ; (b) an MCD exempt credit union loan ; (c) an MCD exempt overdraft loan ; or (d) an MCD exempt lifetime mortgage .
pension transfer specialist
As Published: 2001
pension transfer specialist
an individual who: 166 (1) has passed the required examinations as specified in TC ; and 166 (2) is employed by a firm to give advice on pension transfers, pension conversions and pension opt-outs or…
TCFD Annex
As Published: 2020
TCFD Annex
97 the document entitled “Implementing the Recommendations of the Task Force on Climate-related Financial Disclosures” published in October 2021 107 by the Task Force on Climate-related Financial Disc…
MLR person
As Published: 2017
MLR person
122 a person that is registered under the Money Laundering Regulations .
derivatives trade
As Published: 2001
derivatives trade
142 (in MIFIDPRU ) means an order relating to the purchase or sale of a financial instrument that is not a cash trade .
qualifying social entrepreneurship fund
As Published: 2013
qualifying social entrepreneurship fund
21 has the meaning given in article 3(b) of the EuSEF regulation .
synthetic cash
As Published: 2001
synthetic cash
a position in a derivative that offsets an exposure in property to the point where that exposure has effectively been neutralised, and the effect of the combined holding of both property and the posit…
secured debt
As Published: 2001
secured debt
a debt fully secured on: 28 19 (a) assets whose value at least equals the amount of debt; or 28 19 (b) a letter of credit or guarantee from an approved counterparty . 5 28 19…
Electing Participants Regulations
As Published: 2004
Electing Participants Regulations
the Financial Services and Markets Act 2000 (Compensation Scheme: Electing Participants) Regulations 2001 (SI 2001/1783).
issuing electronic money
As Published: 2011
issuing electronic money
102 197 the activity specified in article 9B of the Regulated Activities Order (Issuing electronic money), which is the activity of issuing electronic money by: (a) a credit institution , a credit uni…
innovative finance component
As Published: 2016
innovative finance component
142 a qualifying investment as prescribed in regulation 8A of the ISA Regulations .