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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…
decision notice
As Published: 2001
decision notice
a notice issued by the FSA in accordance with section 388 of the Act (Decision notices). 3…
SCV system
As Published: 2009
SCV system
(in COMP ) a firm's system for satisfying the FSA's SCV requirements . 86…
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…
arrears
As Published: 2003
arrears
9 (in relation to a regulated mortgage contract or a home purchase plan 32 ) either: (a) a shortfall (equivalent to two or more regular payments) in the accumulated total payments actually made by the…
applicable sectoral consolidation rules
As Published: 2004
applicable sectoral consolidation rules
14 (in respect of a financial sector and in accordance with paragraph 6.9 37 of GENPRU 3 Annex 1 37 (Applicable sectoral consolidation rules)) the FSA's sectoral rules about capital adequacy and solve…
senior staff committee
As Published: 2001
senior staff committee
(in DEPP and EG 58 ) a committee consisting of senior FSA staff members that is empowered to make statutory notice decisions and statutory notice associated decisions by executive procedures . 5…
Financial Promotion Order
As Published: 2001
Financial Promotion Order
the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (SI 2005/1529) 17 .
executive procedures
As Published: 2001
executive procedures
the procedures relating to the giving of warning notices, decision notices and supervisory notices that are described in DEPP 4 (Decisions by FSA staff under executive procedures) 44 .
CFPPFM
As Published: 2005
CFPPFM
32 the consumer-friendly version of a firm's PPFM , which must be produced pursuant to COBS 20.4.5 R 56 .
actuarial function
As Published: 2004
actuarial function
19 controlled function CF12 in the table of controlled functions , described more fully in SUP 4.3.13 R and SUP 10.7.17 R .
Exemption Order
As Published: 2001
Exemption Order
the Financial Services and Markets Act 2000 (Exemption) Order 2001 (SI 2001/1201). 4…