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Building Societies Ombudsman scheme
As Published: 2001
Building Societies Ombudsman scheme
1 the former scheme set up and recognised under the Building Societies Act 1986 to handle complaints about building societies .
matched principal exemption conditions
As Published: 2006
matched principal exemption conditions
40 the conditions set out in BIPRU 1.1.23 R (2) (Meaning of dealing on own account).
exercise price
As Published: 2005
exercise price
(in LR ) (in relation to securitised derivatives ), the price stipulated by the issuer at which the holder can buy or sell the underlying instrument from or to the issuer . 26…
data element
As Published: 2006
data element
A discrete fact or individual piece of information relating to a particular field within a data item required to be submitted to the FSA by a firm or other regulated entity. 35…
EIS share
As Published: 2001
EIS share
a share in respect of which the beneficial owner may, subject to his individual circumstances, be qualified, or has been qualified, for relief under Chapter III of Part VII of the Income and Corporati…
RCB 3 Annex 2 Asset pool notification form
As Published: 2008
RCB 3 Annex 2 Asset pool notification form
…
front end loaded
As Published: 2001
front end loaded
2 (in relation to an investment ) one where deductions for charges and expenses are loaded disproportionately on the early years.
smoothed linked long term stakeholder product
As Published: 2004
smoothed linked long term stakeholder product
27 the stakeholder product specified by regulations 6, 7 and 8 (smoothed linked long term contracts) of the Stakeholder Regulations ;…
Lloyd's Arbitration Scheme
As Published: 2001
Lloyd's Arbitration Scheme
the Lloyd's Arbitration Scheme (Members and Underwriting Agents Arbitration Scheme) established under Lloyd's Arbitration Scheme (Members and Underwriting Agents Scheme) Byelaw (No 15 of 1992). 2…
securities issued in a continuous and repeated manner
As Published: 2005
securities issued in a continuous and repeated manner
(in PR ) (as defined in Article 2.1(l) of the prospectus directive ) issues on tap or at least two separate issues of securities of a similar type and/or class over a period of 12 months. 34…
running-account credit
As Published: 2003
running-account credit
14 (in accordance with section 10(1)(a) of the Consumer Credit Act 1974) a facility under a contract by which the customer is enabled to receive from time to time (whether in his own person, or by ano…
establishment costs
As Published: 2001
establishment costs
(1) (in FEES 6 27 27 ) the costs of establishing the compensation scheme . (2) (in FEES 5 4 3 27 27 ) the costs of establishing the Financial Ombudsman Service .
receiving UCITS
As Published: 2011
receiving UCITS
99 (in COLL ) in relation to a UCITS merger , the UCITS scheme or EEA UCITS scheme or sub-fund of that scheme , whether it is an existing scheme (or a sub-fund of it) or one that is being formed for t…
ISA transfer
As Published: 2001
ISA transfer
a transaction resulting from a decision, made with or without advice from a firm , by a customer who is an individual, to transfer the investments (or their value) held in his existing ISA in favour o…
relevant charitable scheme
As Published: 2001
relevant charitable scheme
an authorised fund which is: (a) a registered charity; or (b) a charitable unit trust scheme under regulation 7(2)(d) of the Income Tax (Definition of Unit Trust Scheme) Regulations 1988. 5…
non-real time financial promotion
As Published: 2001
non-real time financial promotion
(in accordance with article 7(2) of the Financial Promotion Order ) a financial promotion that is not a real time financial promotion . 2 4…
Payment Services Regulations
As Published: 2009
Payment Services Regulations
71 226 the Payment Services Regulations 2009 (SI 2009/209).
insurance conglomerate
As Published: 2004
insurance conglomerate
a financial conglomerate that is identified in paragraph 4.3 of GENPRU 3 Annex 1 (Types of financial conglomerate) as an insurance conglomerate. 52…
Community Co-Insurance Directive
As Published: 2001
Community Co-Insurance Directive
the Council Directive of 30 May 1978 on the coordination of laws, regulations and administrative provisions relating to Community co-insurance (No 78/473/EEC). 3…
EEA ISPV
As Published: 2006
EEA ISPV
32 an ISPV (including a UK ISPV ) whose head office is in any EEA State and which has received authorisation pursuant to article 46 of the Reinsurance Directive from its Home State Regulator .