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transaction-specific advice
As Published: 2001
transaction-specific advice
advice on investments : (a) given in connection with 35 : 35 (i) dealing in investments as principal ; or 35 (ii) dealing in investments as agent ; or 35 (iii) acting as an arranger; or 35 (b) with a…
external valuer
As Published: 2013
external valuer
85 a person who performs the valuation function described in article 19 of the AIFMD in respect of an AIF managed by a full-scope UK AIFM , and is not the AIFM of that AIF .
Company Announcements Office
As Published: 2001
Company Announcements Office
the Company Announcements Office of the London Stock Exchange, the information dissemination provider approved by the UKLA . 3…
advertisement
As Published: 2005
advertisement
(in PR and LR 4 ) (as defined in the PD Regulation ) announcements: (a) relating to a specific offer to the public of securities or to an admission to trading on a regulated market; and (b) aiming to…
hypothetical profit and loss figure
As Published: 2011
hypothetical profit and loss figure
25 (in BIPRU 7.10 (Use of a value at risk model) and in relation to a business day ) the profit and loss figure that would have occurred for that business day if the portfolio on which the VaR number…
issue price
As Published: 2001
issue price
5 (in relation to the issue of units of a dual-priced authorised fund ) the price 46 for each unit payable by the authorised fund manager to the depositary 46 on that issue .
stocks and shares ISA business
As Published: 2014
stocks and shares ISA business
126 a firm's activities, in its capacity as an ISA manager , in connection with an ISA which contains only a stocks and shares component and is not either or both MiFID business and designated investm…
with-profits advisory arrangement
As Published: 2012
with-profits advisory arrangement
(a) 23 an independent person; or (b) if appropriate, one or more non-executive directors appointed to provide independent judgment to the governing body of a firm ; FCA controlled functions which sati…
settlement discount scheme
As Published: 2005
settlement discount scheme
36 (in DEPP and EG 58 ) the scheme described in DEPP 6.7 58 by which the financial penalty that might otherwise be payable, or the length of the period of suspension or restriction that might otherwis…
joint enterprise
As Published: 2001
joint enterprise
(as defined in article 3(1) of the Regulated Activities Order (Interpretation)) an enterprise into which two or more persons ("the participators") enter for commercial purposes related to a business o…
relevant general insurance contract
As Published: 2001
relevant general insurance contract
(in COMP ) any general insurance contract other than: (a) [deleted] (b) [deleted] (c) a contract falling within any of the following classes: (i) aircraft ; (ii) ships ; (iii) goods in transit ; (iv)…
VaR specific risk minimum requirements
As Published: 2006
VaR specific risk minimum requirements
8 BIPRU 7.10.46R to BIPRU 7.10.52R (Model standards: Risk factors: Specific risk) and BIPRU 7.10.107R (Backtesting: Specific risk backtesting).
interest-only mortgage
As Published: 2003
interest-only mortgage
20 a regulated mortgage contract other than a repayment mortgage .
internal system evaluation method
As Published: 2014
internal system evaluation method
132 a method for performing an internal custody record check , described in CASS 6.6.19 R .
exempt regulated activity
As Published: 2001
exempt regulated activity
(as defined in section 325(2) of the Act (FCA's 169 general duty)) a regulated activity which may, as a result of Part XX of the Act (Provision of Financial Services by Members of the Professions), be…