Search Result
applicant
As Published: 2005
applicant
(1) (in LR ) an issuer which is applying for admission of securities . (2) (in PR ) an applicant for approval of a prospectus or supplementary prospectus relating to transferable securities . 23…
document evidencing title
As Published: 2001
document evidencing title
any means of evidencing title whether in documentary form or otherwise. 3…
supplementary listing particulars
As Published: 2005
supplementary listing particulars
(in LR ) (in accordance with section 81(1) of the Act ), supplementary listing particulars containing details of the change or new matter. 34…
Financial Action Task Force
As Published: 2001
Financial Action Task Force
the inter-governmental body responsible for developing and promoting policies, both nationally and internationally, to combat money laundering. 2…
authorised fund manager
As Published: 2001
authorised fund manager
4 an ACD or an authorised unit trust manager .
marriage or the formation of a civil partnership and birth
As Published: 2005
marriage or the formation of a civil partnership and birth
(in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph II of Part II of Schedule 1 to the Regulated Activities Order (Contracts of long-term ins…
index-linked contract
As Published: 2007
index-linked contract
67 a linked long-term contract conferring index-linked benefits .
motor vehicle liability insurance business
As Published: 2002
motor vehicle liability insurance business
general insurance business of class 10, other than: (a) carrier's liability; (b) pure reinsurance of that class. 7…
individual member
As Published: 2001
individual member
a member , or former member , who is a natural person . 5…
minimum capital requirement
As Published: 2004
minimum capital requirement
24 an amount of capital resources that a firm must hold as set out in GENPRU 2.1.24 R and GENPRU 2.1.25 R 40 .
Complaints Commissioner
As Published: 2001
Complaints Commissioner
the person appointed by the FSA under COAF 1.3.1 G (The Complaints Commissioner) to carry out the functions conferred on him under the complaints scheme . 3…
UK pure reinsurer
As Published: 2009
UK pure reinsurer
37 a pure reinsurer whose head office is in the United Kingdom .
systematic internaliser
As Published: 2007
systematic internaliser
49 investment firm which, on an organised, frequent and systematicbasis, deals on own account by executing client orders outside a regulated market or an MTF . [Note: article 4(1)(7) of MiFID ]…
field representative
As Published: 2001
field representative
an appointed representative or, where applicable, a tied agent 30 , or an employee of the firm (or of its appointed representative or, where applicable, its tied agent 30 ), whose normal fixed place o…
dealing in investments as principal
As Published: 2001
dealing in investments as principal
the regulated activity , specified in article 14 of the Regulated Activities Order (Dealing in investments as principal), which is in summary: buying , selling , subscribing for or underwriting design…