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qualifying investment
As Published: 2001
qualifying investment
1 an investment which has been prescribed by the Treasury in the Prescribed Markets and Qualifying Investments Order…
group respondents
As Published: 2013
group respondents
85 all respondents identified as part of the relevant charging group as defined in FEES 5 Annex 3R Part 3 .
tier two capital resources
As Published: 2004
tier two capital resources
14 the sum calculated at stage I (Total tier two capital) 26 of the calculation in the capital resources table 26 .
equivalent business of a third country investment firm
As Published: 2006
equivalent business of a third country investment firm
33 the business of a third country investment firm carried on from an establishment in the United Kingdom that would be MiFID business if that firm were a MiFID investment firm .
CASS large debt management firm
As Published: 2014
CASS large debt management firm
157 a CASS debt management firm falling within the classification of CASS large debt management firm in CASS 11.2.3 R .
cash component
As Published: 2001
cash component
a qualifying investment prescribed in paragraph 8 of the ISA Regulations (Qualifying investments for a cash component). 3…
Disciplinary Tribunal
As Published: 2001
Disciplinary Tribunal
a Tribunal appointed under Schedule 2 to Lloyd's Disciplinary Committees Byelaw (No 31 of 1996). 3…
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
…
ADR Regulations
As Published: 2015
ADR Regulations
120 187 the Alternative Dispute Resolution for Consumer Disputes (Competent Authorities and Information) Regulations 2015 (SI 2015/542).
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).
own-initiative powers
As Published: 2013
own-initiative powers
the 116 FCA's or the PRA's own-initiative variation power and own-initiative requirement power .
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…