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trustee firm
As Published: 2001
trustee firm
61 a firm which is not an OPS firm and which is acting as a: (a) trustee (other than for a trust of client money arising only under CASS 5.3.2 R , CASS 5.4 (Non-statutory client money trust), CASS 7.1…
expiration date
As Published: 2005
expiration date
(in LR ) (in relation to securitised derivatives ), the date stipulated by the issuer on which the holder's rights in respect of the securitised derivative ends. 26…
liquid assets threshold requirement
As Published: 2001
liquid assets threshold requirement
89 the amount of liquid assets that a firm needs to hold to comply with the overall financial adequacy rule .
probable reserves
As Published: 2005
probable reserves
(in LR ): (a) in respect of mineral companies primarily involved in the extraction of oil and gas resources, those reserves which are not yet proven but which, on the available evidence and taking int…
data set
As Published: 2006
data set
One or more data items relating to the same regulated activity . 35…
Electing Participants Order
As Published: 2001
Electing Participants Order
the Financial Services and Markets Act 2000 (Compensation Scheme: Electing Participants) Regulations 2001 (SI 2001/1783). 3…
CASS 13 claims management firm
As Published: 2019
CASS 13 claims management firm
228 a firm that is subject to the rules and guidance in CASS 13 .
dual-regulated firm
As Published: 2015
dual-regulated firm
96 (in SYSC 19D ) a firm that is UK bank 111 , a building society or a UK designated investment firm .
onshored regulation
As Published: 2019
onshored regulation
96 a regulation made pursuant to the Treaty and which is part of UK law by virtue of the EUWA .
wind-down trigger
As Published: 2001
wind-down trigger
38 either of the following in relation to a MIFIDPRU investment firm : (1) the liquid assets wind-down trigger ; or (2) the own funds wind-down trigger .
FCA-recognised industry code
As Published: 2018
FCA-recognised industry code
120 A market code prepared by a private person that prescribes or prohibits forms of conduct or behaviour in relation to activities in financial markets, recognised by the FCA under its industry code…
covered individual
As Published: 2022
covered individual
254 the individual on whose death a funeral will be provided or secured under a funeral plan contract or prospective funeral plan contract .
MiFID RTS 22
As Published: 2017
MiFID RTS 22
the UK version of 132 118 Commission Delegated Regulation (EU) 2017/590 of 28 July 2016 supplementing MiFIR with regard to regulatory technical standards for the reporting of transactions to competent…
third country insurance undertaking
As Published: 2021
third country insurance undertaking
104 a third country insurance undertaking as defined in regulation 2 of the Solvency 2 Regulations 2015 .
Stakeholder Regulations
As Published: 2004
Stakeholder Regulations
27 the Financial Services and Markets Act 2000 (Stakeholder Products) Regulations 2004 (SI 2004/2738).
IDD Regulation
As Published: 2018
IDD Regulation
192 160 Commission Delegated Regulation (EU) 2017/2359 of 21 September 2017, supplementing the IDD of the European Parliament and of the Council with regard to information requirements and conduct of…
offer of transferable securities to the public
As Published: 2005
offer of transferable securities to the public
(in PRR and LR ) (as defined in the Prospectus Regulation ) a communication to persons in any form and by any means, presenting sufficient information on the terms of the offer and the securities to b…
retirement date
As Published: 2022
retirement date
218 (in COBS 19.11 ) means: (a) the age (according to the most recent recorded information available to the firm ) when a relevant pension scheme member intends to retire, or to access their pension s…