Search Result
former Ombudsman
As Published: 2001
former Ombudsman
an ombudsman, arbitrator or independent investigator appointed under a former scheme . 1…
chief finance officer function
chief finance officer function
236 FCA controlled function SMF2 in the table of FCA-designated senior management functions , described more fully in SUP 10C.6A.3R .
equity share
As Published: 2005
equity share
25 shares comprised in a company's equity share capital .
LTIF
As Published: 2019
LTIF
79 a long-term investment fund (as defined in the LTIF regulation ) authorised under the LTIF Regulation…
COMP 16.2 Informing depositors of limitations to coverage
As Published: 2009
COMP 16.2 Informing depositors of limitations to coverage
…
pathway investment
As Published: 2019
pathway investment
187 190 an investment that corresponds to the investment pathway options in COBS 19.10.17R(1) .
limited redemption arrangements
As Published: 2004
limited redemption arrangements
the arrangements operated by an authorised fund manager for the redemption of units in an authorised fund where the authorised fund manager holds himself out to redeem units in that scheme less freque…
related party circular
As Published: 2005
related party circular
(in LR ) a circular relating to a related party transaction . 31…
Non-Exempt Activities Order
As Published: 2001
Non-Exempt Activities Order
the Financial Services and Markets Act 2000 (Professions) (Non-Exempt Activities) Order 2001 (SI 2001/1227). 2…
tariff of charges
As Published: 2003
tariff of charges
9 a list of all the charges (including amounts) that are payable on a home finance transaction 23 , including the reason for, and amount of, each charge.
MCD credit agreement
As Published: 2015
MCD credit agreement
99 an MCD regulated mortgage contract or an MCD article 3(1)(b) credit agreement . [Note: article 3(1) of the MCD ]…
arrangement
As Published: 2001
arrangement
4 (as defined in section 59(10) of the Act (Approval for particular arrangements)) any kind of arrangement for the performance of a function of an authorised person ("A") which is entered into by A or…
International Securities Identification Number (ISIN)
As Published: 2010
International Securities Identification Number (ISIN)
96 a 12-character, alphanumeric code which uniquely identifies a financial instrument and provides for the uniform identification of securities at trading and settlement.
managerial responsibility
As Published: 2020
managerial responsibility
(1) [deleted] 164 149 (2) (in SYSC 19G ) a situation in which a staff member heads a business unit or a control function and is directly accountable to the management body as a whole, to a member of t…
index-linked benefits
As Published: 2004
index-linked benefits
32 benefits: (a) provided for under a linked long-term contract of insurance ; and (b) determined by reference to an index of the value of property of any description (whether specified in the contrac…
IPRU
As Published: 2001
IPRU
the Interim Prudential sourcebook, comprising IPRU(BANK) , IPRU(BSOC) , IPRU(FSOC) , IPRU(INS) and IPRU(INV) , or according to the context one of these Interim Prudential sourcebooks. 5…
annualised projected pension value
As Published: 2022
annualised projected pension value
176 an estimate of the value of a relevant pension scheme member’s pension benefits, expressed as an annual income at their retirement date .
money-market instruments
As Published: 2007
money-market instruments
44 those classes of financial instruments which are normally dealt in on the money market, such as treasury bills, certificates of deposit and commercial papers and excluding instruments of payment. […
designated State or territory
As Published: 2001
designated State or territory
any EEA State (other than the United Kingdom ), Australia, Canada or a province of Canada, Hong Kong, Singapore, South Africa, Switzerland, a State in the United States of America, the District of Col…