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traded on
As Published: 2003
traded on
(in relation to an ATS ) traded by means of the system including under the rules of, or by means of the protocols or operating procedures of, the system. 7…
trading day
As Published: 2006
trading day
28 a day included in the calendar of trading days published by FSA at www.fsa.gov.uk ;…
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 .
individual capital guidance
As Published: 2006
individual capital guidance
52 guidance given to a firm about the amount and quality of capital resources that the FSA thinks the firm should hold under the overall financial adequacy rule as it applies on a solo level or a cons…
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…
offer for subscription
As Published: 2005
offer for subscription
(in LR ) an invitation to the public by, or on behalf of, an issuer to subscribe for securities of the issuer not yet in issue or allotted (and may be in the form of an invitation to tender at or abov…
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
…