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incoming electronic commerce communication
As Published: 2002
incoming electronic commerce communication
13 (in accordance with article 6 of the Financial Promotion Order ) an electronic commerce communication made from an establishment in an EEA State other than the United Kingdom .
sickness
As Published: 2001
sickness
(in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph 2 of Part I of Schedule 1 to the Regulated Activities Order (Contracts of general insuran…
plus factor
As Published: 2006
plus factor
43 (in BIPRU 7.10 (Use of a value at risk model)) an increase to the minimum multiplication factor based on backtesting exceptions as more fully defined in BIPRU 7.10.124 R (Capital calculations: Mult…
large e-money float exposure
As Published: 2002
large e-money float exposure
(in ELM ) an e-money float exposure or e-money float exposures that exceeds or together exceed 10% of an ELMI's own funds as specified in more detail in ELM 3.5.7 R (Calculation of large exposure). 3…
Treaty right
As Published: 2004
Treaty right
the entitlement of a Treaty firm to qualify for authorisation under Schedule 4 to the Act (Treaty Rights).2001/7…
national guarantee fund
As Published: 2001
national guarantee fund
(in relation to an EEA State ) a body which: (a) has been set up or authorised in that State in accordance with article 1(4) of Council Directive (84/5/EEC); and (b) provides compensation for damages…
preference share
As Published: 2004
preference share
25 a share conferring preference as to income or return of capital which is not convertible into an equity share and does not form part of the equity share capital of a company . 27…
gross adjusted claims amount
As Published: 2004
gross adjusted claims amount
12 (for the purposes of INSPRU 1.1 20 ) an amount, as defined in INSPRU 1.1.60R 20 to INSPRU 1.1.65G 20 , used in calculating the claims amount .
retail customer
As Published: 2003
retail customer
14 17 22 (in accordance with the meaning of 'consumer' in article 2(d) of the Distance Marketing Directive an individual who is acting for purposes which are outside his trade, business or profession.
time-scheduled buy-back programme
As Published: 2005
time-scheduled buy-back programme
15 (as defined in Article 2 of the Buy-back and Stabilisation Regulation ) a buy-back programme where the dates and quantities of securities to be traded during the time period of the programme are se…
outgoing ECA provider
As Published: 2002
outgoing ECA provider
a firm which: (a) provides an electronic commerce activity , from an establishment in the United Kingdom , with or for an EEA ECA recipient ; and (b) is a national of an EEA State or a firm or company…
decision notice
As Published: 2001
decision notice
a notice issued by the FSA in accordance with section 388 of the Act (Decision notices). 3…
MiFID
As Published: 2006
MiFID
39 The European Parliament and Council Directive on markets in financial instruments (No. 2004/39/EC). See also MiFID Regulation and MiFID implementing Directive .
Enterprise Zone Property Unit Trust
As Published: 2001
Enterprise Zone Property Unit Trust
an unregulated collective investment scheme of which the underlying assets are industrial and commercial buildings in an Enterprise Zone in accordance with section 749(2) of the Finance Act 1980. 4…
counterparty credit risk
As Published: 2006
counterparty credit risk
48 (in accordance with Part 1 of Annex III of the Banking Consolidation Directive (Definitions)) the risk that the counterparty to a transaction could default before the final settlement of the transa…
Regulatory Decisions Committee
As Published: 2001
Regulatory Decisions Committee
a committee of the Board of the FSA , described in DEPP 3.1 (The nature and procedure of the RDC) 58 .
group ISA
As Published: 2001
group ISA
an individual savings account of which the plan manager is the authorised fund manager , or in the same group as the authorised fund manager , of the authorised fund by reference to units in which the…
EIS manager
As Published: 2001
EIS manager
(a) (in relation to an EIS managed portfolio ) the investment manager; (b) (in relation to an EIS fund ) the manager of the fund. 4…