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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…
basic advice
As Published: 2004
basic advice
15 the regulated activity , specified in article 52B of the Regulated Activities Order (Providing basic advice on stakeholder products) which is, in summary, providing advice on stakeholder product s…
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
…
Money Laundering Regulations
As Published: 2002
Money Laundering Regulations
the Money Laundering Regulations 2007 (SI 2007/2157) 55 .
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…
class tests
As Published: 2005
class tests
(in LR ) the tests set out in LR 10 Annex 1 (and for certain specialist companies, those tests as modified by LR 10.7 ), which are used to determine how a transaction is to be classified for the purpo…
biomass
As Published: 2008
biomass
29 the biodegradable fraction of products, waste and residues from agricultural (including vegetal and animal substances), forestry and related industries, as well as the biodegradable fraction of ind…
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…
core provision
As Published: 2001
core provision
(as defined in section 316(3) of the Act (Direction by Authority)) a provision of the Act mentioned in section 317 of the Act (The core provisions) which applies to the carrying on of an insurance mar…
retail investment
As Published: 2004
retail investment
(a) a life policy ; or 19 (b) a unit ; or 19 (c) a stakeholder pension scheme ; or 19 (ca) a personal pension scheme ; or 40 (d) an interest in an investment trust savings scheme ; or 19 (e) a structu…
solicited real time financial promotion
As Published: 2001
solicited real time financial promotion
(in accordance with article 8 of the Financial Promotion Order ) a real time financial promotion which is solicited, that is, it is made in the course of a personal visit, telephone call or other inte…
UK consolidated group
As Published: 2002
UK consolidated group
(in ELM ) (in relation to an ELMI ) the consolidated sub-group of: (a) the ELMI's UK financial parent undertaking ; or (b) (if the ELMI has no UK financial parent undertaking and the ELMI is a UK dome…
non-EEA insurer
As Published: 2004
non-EEA insurer
13 an insurer whose head office is not in an EEA State .
limitation
As Published: 2001
limitation
2 a limitation incorporated in a Part IV permission under section 42(7)(a)of the Act (Giving permission) or section 45(4)of the Act (Variation etc on the Authority's own initiative).
non-discretionary management agreement
As Published: 2001
non-discretionary management agreement
an agreement for the non-discretionary management of investments : (a) under which the firm agrees to conduct a regular review of the suitability of the client's account or portfolio, based on an asse…