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tied MCD credit intermediary
As Published: 2015
tied MCD credit intermediary
67 a tied MCD mortgage credit intermediary or a tied MCD article 3(1)(b) credit intermediary . [Note: article 4(7) of the MCD ]…
authorised unit trust scheme
As Published: 2001
authorised unit trust scheme
4 (as defined in section 237(3) of the Act (Other definitions)) a unit trust scheme which is authorised for the purposes of the Act by an authorisation order .
universal registration document
As Published: 2019
universal registration document
a universal registration document referred to in article 9 of the Prospectus Regulation . 83…
third party verifier
As Published: 2019
third party verifier
85 a person authorised in accordance with paragraph 28(1) of the Securitisation Regulation . [Note: see https://eur-lex.europa.eu/eli/reg/2017/2402/oj ]…
in the money
As Published: 2005
in the money
(1) (in LR ) (in relation to 115 securitised derivatives 115 ): 52 (a) where the holder has the right to buy the underlying instrument or instruments from the issuer , when the settlement price is gre…
mortgage adviser
As Published: 2003
mortgage adviser
11 12 a firm with permission (or which ought to have permission ) for advising on regulated mortgage contracts .
linked policyholders
As Published: 2007
linked policyholders
29 policyholders under a linked long-term contract.
structured deposit appointed representative
As Published: 2017
structured deposit appointed representative
161 an appointed representative that is a party to a contract with a MiFID investment firm that permits or requires it to carry on only the business of selling, or advising clients in relation to, str…
Financial Groups Directive
As Published: 2004
Financial Groups Directive
9 Directive 2002/87/EC of the European Parliament and of the Council of 16 December 2002 on the supplementary supervision of credit institutions, insurance undertakings and investment firms in a finan…
PROF Sch 3 Fees and other required payments
As Published: 2004
PROF Sch 3 Fees and other required payments
…
AVA
As Published: 2021
AVA
170 an additional valuation adjustment calculated under MIFIDPRU 3 Annex 8R .
lower rate of return
As Published: 2007
lower rate of return
30 (in COBS ) the lower rate of return described in paragraph 2.3 of the projection rules ( COBS 13 Annex 2 ).
banking and investment services sector
As Published: 2006
banking and investment services sector
23 (in relation to a financial sector in a consolidation group or a financial conglomerate and in accordance with GENPRU 3.1 (Cross sector groups)), the investment services sector and the banking sect…
home finance activity
As Published: 2006
home finance activity
8 any home finance mediation activity , home finance providing activity or administering a home finance transaction .
securities or commodities lending or borrowing transaction
As Published: 2006
securities or commodities lending or borrowing transaction
a transaction that falls within the definition in article 3(7) of the SFTR . 205 121 180 180…
RVECA manager
As Published: 2019
RVECA manager
192 the manager of a qualifying venture capital fund (as defined in the RVECA Regulation ) that is registered in accordance with article 14 of the RVECA Regulation .
sustainable
As Published: 2014
sustainable
122 (in CONC ) the ability of the customer to make repayments under a credit agreement in accordance with CONC 5.2A.12R 173 .