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adequate public disclosure
As Published: 2005
adequate public disclosure
22 (as defined in Article 2 of the Buy-back and Stabilisation Regulation ) disclosure made in accordance with the procedure laid down in Articles 102(1) and 103 of the Consolidated Admissions and Repo…
MIPRU Sch 3 Fees and other required payments
As Published: 2006
MIPRU Sch 3 Fees and other required payments
…
receivable
As Published: 2001
receivable
(in relation to a member , a period and a premium ) a premium due to the member in respect of contracts of insurance effected during the period, whether or not the premium is received during that peri…
terminating event
As Published: 2001
terminating event
(as defined in article 2(1) of the compensation transitionals order ) in relation to applications made under an investment business compensation scheme , the withdrawal, discontinuance or rejection of…
cross border services
As Published: 2001
cross border services
(1) (in relation to a UK firm ) services provided within an EEA State other than the United Kingdom under the freedom to provide services. (2) (in relation to an incoming EEA firm or an incoming Treat…
UK parent financial holding company in a Member State
As Published: 2006
UK parent financial holding company in a Member State
19 a parent financial holding company in a Member State where the EEA State in question is the United Kingdom .
RAP regulations
As Published: 2011
RAP regulations
105 the Recognised Auction Platforms Regulations 2011 (SI 2011/2699).
business offer document
As Published: 2003
business offer document
9 an offer document for a regulated mortgage contract that is for a business purpose.
senior personnel
As Published: 2006
senior personnel
(1) those persons who effectively direct the business of the firm governing body and other persons who effectively direct the business of the firm . 103 (2) (in relation to a management company and in…
reporting accountant
As Published: 2001
reporting accountant
an accountant appointed: (a) by the FSA ; or (b) by a firm , having been nominated or approved by the FSA under section 166 of the Act (Reports by skilled persons); or (c) by an applicant for Part IV…
complaints scheme
As Published: 2001
complaints scheme
the arrangements made by the FSA under paragraphs 7 and 8 of Schedule 1 to the Act (The Financial Services Authority) for the investigation of complaints against the FSA arising in connection with the…
relevant financial system
As Published: 2010
relevant financial system
87 (in accordance with section 169A(5) of the Act (Support of overseas regulator with respect to financial stability)) a financial system including: (a) financial markets and exchanges; (b) activities…
feeder fund
As Published: 2001
feeder fund
an AUT that is a relevant pension scheme and dedicated to units in a single regulated collective investment scheme . 2…
disclosure obligations
As Published: 2007
disclosure obligations
39 (in REC ) the initial, ongoing and ad hoc disclosure requirements contained in the relevant articles and given effect: (1) in the United Kingdom by Part 6 of the Act and Part 6 rules (within the me…
FSB Compensation Standards
As Published: 2010
FSB Compensation Standards
47 (in accordance with the definition of "the Implementation Standards" in section 139A(12) of the Act ) the Implementation Standards for Principles for Sound Compensation Practices issued by the Fina…
pension wrapper
As Published: 2007
pension wrapper
52 (in the cancellation rules ( COBS 15 )) a SIPP , pension contract or personal pension product .
CTF bank account
As Published: 2004
CTF bank account
24 a bank account which fulfils the requirements of Regulation 11(5) of the CTF Regulations .
authorised unit trust manager
As Published: 2001
authorised unit trust manager
4 a manager of an AUT .
commodity simplified approach
As Published: 2006
commodity simplified approach
48 the method of calculating the commodity PRR in BIPRU 7.4.24 R (Simplified approach).
permitted activity
As Published: 2001
permitted activity
(1) (except in 33 SUP 13A 33 and SUP 14 ) a regulated activity which a firm has permission to carry on. (2) (in 33 SUP 13A 33 and SUP 14 ) an activity identified in a consent notice, a regulator's not…