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bank
As Published: 2001
bank
4 5 (a) a firm with a 87 Part 4A permission 87 which includes accepting deposits , and: (i) which is a credit institution ; 75 (ii) [deleted] 75 87 87 23 23 but which is not a building society , a fri…
specific non-real time financial promotion
As Published: 2001
specific non-real time financial promotion
a non-real time financial promotion which identifies and promotes a particular investment or service. 5…
administrative expenses
As Published: 2004
administrative expenses
21 has the meaning set out in the insurance accounts rules .
insurance business transfer
As Published: 2001
insurance business transfer
a transfer in accordance with an insurance business transfer scheme . 3…
group ISA
As Published: 2001
group ISA
an individual savings account of which the plan manager is the authorised fund manager , or in the same group as the authorised fund manager , of the authorised fund by reference to units in which the…
debt adjusting
As Published: 2013
debt adjusting
84 a regulated activity of the kind specified in article 39D of the Regulated Activities Order .
alternative investment fund manager
As Published: 2013
alternative investment fund manager
154 a legal person whose regular business is performing AIFM investment management functions for one or more AIF . [Note: article 4(1)(b) of AIFMD )] 154…
asset-related capital requirement
As Published: 2004
asset-related capital requirement
21 a component of the calculation of the ECR for a firm carrying on general insurance business as set out in INSPRU 2.2 37 .
average DTF
As Published: 2001
average DTF
168 the rolling average of a firm’s DTF calculated in accordance with MIFIDPRU 4.15.4R .
long-term asset fund
As Published: 2021
long-term asset fund
91 an authorised fund whose authorised fund manager operates, or proposes to operate, it in accordance with the rules in COLL 15 (Long-term asset funds).
credit-sale agreement
As Published: 2014
credit-sale agreement
157 an agreement for the sale of goods under which the purchase price, or part of it, is payable by instalments, but which is not a conditional sale agreement (see section 189 of the CCA ).
UCITS implementing Directive
As Published: 2011
UCITS implementing Directive
43 Commission Directive (2010/43/EU) of the European Parliament and of the Council implementing Directive 2009/65/EC (UCITS IV) as regards certain provisions concerning organisational requirements, co…
MCD mortgage credit intermediary
As Published: 2015
MCD mortgage credit intermediary
99 in relation to an MCD regulated mortgage contract : (a) an MCD mortgage arranger ; or (b) an MCD mortgage adviser . [Note: article 4(5) and (21) of the MCD ]…
third-country group
As Published: 2004
third-country group
13 a third-country financial conglomerate or a third-country banking and investment group .
decision notice
As Published: 2001
decision notice
a notice issued by the appropriate regulator 158 in accordance with section 388 of the Act (Decision notices). 3…
EMIR requirements
As Published: 2013
EMIR requirements
83 requirements imposed under EMIR and any regulation made under EU EMIR 137 .
MiFID RTS 20
As Published: 2022
MiFID RTS 20
155 the UK version of Commission Delegated Regulation (EU) 2017/592 of December 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technica…
payment account
As Published: 2018
payment account
159 (in accordance with regulation 2(1) of the Payment Services Regulations ) an account held in the name of one or more payment service users which is used for the execution of payment transactions .
Payment Accounts Regulations
As Published: 2016
Payment Accounts Regulations
147 Accounts Regulations 2015 (SI 2015/2038).
regulated market transaction
As Published: 2007
regulated market transaction
52 a transaction concluded by a firm on a regulated market with another member or participant of that regulated market .