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FC link PDF Financial Crime: a guide for firms
As Published: 2010
FC link PDF Financial Crime: a guide for firms
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margined transaction requirement
As Published: 2014
margined transaction requirement
94 the total amount of client money a firm is required to segregate in client bank accounts for margined transactions under the client money rules , in accordance with CASS 7.16.32 R .
own funds instruments
As Published: 2013
own funds instruments
61 has the meaning in article 4(1)(119) of the EU CRR .
authorised contractual scheme
As Published: 2013
authorised contractual scheme
95 a co-ownership scheme or a limited partnership scheme .
limited assurance engagement
As Published: 2011
limited assurance engagement
a 'limited assurance engagement' as described in the Glossary of terms in Financial Reporting Council: Audit and Assurance: Standards and Guidance 2014.
alternative projection
As Published: 2007
alternative projection
49 (in COBS ) a projection calculated on the basis described in paragraph 1.5R of the projection rules ( COBS 13 Annex 2 ), rather than in accordance with the remainder of those rules .
EEA insurance parent undertaking
As Published: 2004
EEA insurance parent undertaking
24 an insurance parent undertaking that has its head office in the United Kingdom or another EEA State .
market maker exemption
As Published: 2012
market maker exemption
79 an exemption from articles 5, 6, 7, 12, 13 and 14 of the short selling regulation for transactions performed due to market making activities pursuant to article 17 of the short selling regulation .
Principle
As Published: 2001
Principle
5 one of the Principles set out in PRIN 2.1.1 R (Principles for Businesses).
disclosure rules
As Published: 2009
disclosure rules
(in accordance with sections 73A(1) and 73A(3) of the Act ) rules relating to the disclosure of information in respect of financial instruments which have been admitted to trading on a regulated marke…
COND Sch 3 Fees and other required payments
As Published: 2004
COND Sch 3 Fees and other required payments
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instrument of incorporation
As Published: 2001
instrument of incorporation
the instrument of incorporation of an ICVC (as from time to time amended) initially provided to the FCA 194 in accordance with regulation 14(1)(c) of the OEIC regulations . 5…
credit broking
As Published: 2013
credit broking
149 an activity of the kind specified in article 36A of the Regulated Activities Order .
accumulation unit
As Published: 2001
accumulation unit
4 a unit in respect of which income is credited periodically to capital property under COLL 6.8.3 R (Income allocation and distribution) 44 .
clearing facilitation service
As Published: 2013
clearing facilitation service
281 (in relation to a RIE ) any regulated activity carried on by an RIE for the purposes of, or in connection with, the provision by the RIE of services designed to facilitate the provision of clearin…
linked deposits
As Published: 2003
linked deposits
7 additional facilities (which may be a current account, a savings account, or both) that are linked to a regulated mortgage contract but which may be the subject of a separate contract.
Small Business, Enterprise and Employment Act
As Published: 2016
Small Business, Enterprise and Employment Act
147 the Small Business, Enterprise and Employment Act 2015 (c.26).
governing body
As Published: 2001
governing body
the board of directors , committee of management or other governing body of a firm or recognised body , including, in relation to a sole trader , the sole trader . 4…
premium listing (commercial company)
As Published: 2009
premium listing (commercial company)
77 a premium listing of equity shares 90 (other than those of a closed-ended investment fund or of an open-ended investment company ).
weather derivative
As Published: 2001
weather derivative
a contract for differences where the index or other factor in question is a climatic variable. 1…