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overseas company
As Published: 2005
overseas company
(in LR and PR ) a company incorporated outside the United Kingdom . 20…
UCITS remuneration principles
As Published: 2016
UCITS remuneration principles
69 the principles set out in SYSC 19E.2.5R to SYSC 19E.2.27R .
common platform organisational requirements
As Published: 2006
common platform organisational requirements
47 SYSC 4 to SYSC 9 .
sub-pool
As Published: 2014
sub-pool
124 a discrete pool of client money established under CASS 7.19 .
insurance intermediary
As Published: 2004
insurance intermediary
22 a firm carrying on insurance mediation activity other than an insurer 70 .
pension conversion
As Published: 2015
pension conversion
126 a transaction resulting from a decision of a retail client to require the trustees or managers of a pension scheme to: (a) convert safeguarded benefits into different benefits that are flexible be…
lower tier three capital resources
As Published: 2006
lower tier three capital resources
22 the sum calculated at stage P of the capital resources table (Lower tier three).
CFEB
As Published: 2010
CFEB
the consumer financial education body originally 282 established by the FSA under section 6A(1) of the Act (Enhancing public understanding of financial matters etc) (as it had effect before the passin…
UK AIF
As Published: 2013
UK AIF
50 an AIF that is: (a) an authorised fund ; or (b) not an authorised fund but has its registered office or head office in the UK ;…
risk capital requirement
As Published: 2006
risk capital requirement
46 (1) (in relation to the 228 130 FCA's 130 rules ) one of the following: (a) the credit risk capital requirement ; (b) the fixed overheads requirement ; (c) the market risk capital requirement ; or…
former Ombudsman
As Published: 2001
former Ombudsman
an ombudsman, arbitrator or independent investigator appointed under a former scheme . 1…
equity share
As Published: 2005
equity share
25 shares comprised in a company's equity share capital .
COMP 16.2 Informing depositors of limitations to coverage
As Published: 2009
COMP 16.2 Informing depositors of limitations to coverage
…
self-certified sophisticated investor
As Published: 2014
self-certified sophisticated investor
221 a person who meets the requirements set out in article 23A of the Promotion of Collective Investment Schemes Order , in article 50A of the Financial Promotions Order or in COBS 4.12.8 R .
limited redemption arrangements
As Published: 2004
limited redemption arrangements
the arrangements operated by an authorised fund manager for the redemption of units in an authorised fund where the authorised fund manager holds himself out to redeem units in that scheme less freque…
related party circular
As Published: 2005
related party circular
(in LR ) a circular relating to a related party transaction . 31…
Non-Exempt Activities Order
As Published: 2001
Non-Exempt Activities Order
the Financial Services and Markets Act 2000 (Professions) (Non-Exempt Activities) Order 2001 (SI 2001/1227). 2…