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relevant firm
As Published: 2001
relevant firm
(in ML ) a firm of the kind described in ML 1.1.2R. 5…
money service business
As Published: 2002
money service business
carrying on by way of business the activity of: (a) operating a bureau de change; or (b) transmitting money, or any representation of monetary value, by any means; or (c) cashing cheques which are mad…
policyholder advocate
As Published: 2005
policyholder advocate
31 the person appointed under COB 6.13.8 R to negotiate with a firm on its proposals for making a reattribution of its inherited estate .
passported activity
As Published: 2001
passported activity
an activity carried on by an EEA firm , or by a UK firm , under an EEA right . 5…
announceable information
As Published: 2001
announceable information
4 information which is usually the subject of a public announcement, although not subject to any formal disclosure requirement.
recognised clearing house
As Published: 2001
recognised clearing house
a clearing house which is declared by a recognition order for the time being in force to be a recognised clearing house. 5…
Swiss general insurer
As Published: 2004
Swiss general insurer
28 a Swiss general insurance company which has permission to effect or carry out contracts of insurance of a kind which is subject to the Swiss Treaty Agreement .
date of allotment
As Published: 2001
date of allotment
the date on which amounts of the relevant security are allotted to subscribers or purchasers and, where there is an initial or preliminary allotment subject to confirmation, the date of that initial o…
SUP 10 Annex 2 Approved person regime: summary of forms and their use
As Published: 2001
SUP 10 Annex 2 Approved person regime: summary of forms and their use
…
bearer certificate
As Published: 2001
bearer certificate
4 12 (in COLL and CIS ) a certificate or other documentary evidence of title, for which provision is made in the instrument constituting the scheme , which indicates that: (a) the holder of the docume…
Gibraltar Order
As Published: 2001
Gibraltar Order
the Financial Services and Markets Act 2000 (Gibraltar) Order 2001 (SI 2001/3084). 3…
Consumer Panel
As Published: 2001
Consumer Panel
the panel of persons which section 10of the Act (The Consumer Panel) requires the FSA to establish and maintain, as part of its arrangements for consultation under section 8, to represent the interest…
introducer appointed representative
As Published: 2001
introducer appointed representative
an appointed representative appointed by a firm whose scope of appointment is limited to: 30 (a) effecting introductions; and (b) distributing non-real time financial promotions . 5…
FIT
As Published: 2001
FIT
the part of the Handbook in High Level Standards which has the title the Fit and Proper test for Approved Persons. 2…
commission equivalent (equivalent)
As Published: 2004
commission equivalent (equivalent)
25 the cash payments, benefits and services listed in COB 5.7.16 E which satisfy the criteria in COB 5.7.5 R (2) .
industry block
As Published: 2001
industry block
(in DISP ) a grouping of firms by common business activity for the purposes of calculating the general levy . 5 1 7…