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investment trust savings scheme
As Published: 2001
investment trust savings scheme
(a) a dealing service (whether or not held within a pension contract ) dedicated to the securities of one or more investment trusts ; 30 (b) securities to be acquired through an investment trust savin…
table of controlled functions
As Published: 2001
table of controlled functions
the table of controlled functions in SUP 10.4.5 R . 3…
making arrangements with a view to a home finance transaction
As Published: 2006
making arrangements with a view to a home finance transaction
34 any of the regulated activities of making arrangements with a view to a regulated mortgage contract , making arrangements with a view to a home reversion plan , 63 making arrangements with a view t…
ICOBS Sch 3 Fees and other required payments requirements
As Published: 2007
ICOBS Sch 3 Fees and other required payments requirements
…
mini-ISA
As Published: 2001
mini-ISA
3 an ISA which contains only one of the following qualifying investments (a) a stocks and shares component ; (b) a cash component ; (c) an insurance component ; as prescribed in paragraph 7, 8 or 9 re…
own account order
As Published: 2001
own account order
an order which relates to an own account transaction . 4…
professional firm
As Published: 2001
professional firm
5 2 a person which is: (a) an individual who is entitled to practise a profession regulated by a designated professional body and, in practising it, is subject to its rules, whether or not he is a mem…
published recommendation
As Published: 2001
published recommendation
5 any publication by or on behalf of a firm (including publication by sound broadcasting or television or other electronic means) which contains: (a) the results of research into investments ; or (b)…
issue
As Published: 2007
issue
(in relation to units ): 66 (1) (except in 66 EG 14 66 ) the issue of new units by the trustee of an AUT or by an ICVC ; (2) (in 66 EG 14 66 ): 66 (a) an issue in accordance with (1); and (b) the sale…
eligible claimant
As Published: 2001
eligible claimant
a person who is eligible to bring a claim for compensation under COMP 4.2.1 R . 4…
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 .