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home purchase adviser
As Published: 2006
home purchase adviser
8 a firm with permission (or which ought to have permission ) for advising on a home purchase plan .
deficit reduction amount
As Published: 2005
deficit reduction amount
in respect of a defined benefit occupational pension scheme , the sum, determined by a firm in conjunction with the defined benefit occupational pension scheme's actuaries or trustees (or both), of th…
PD
As Published: 2005
PD
(1) (except in GENPRU and BIPRU ) Prospectus Directive. 43 (2) (in GENPRU 80 , BIPRU and BSOCS 80 ) probability of default . 43…
non-UK relevant authorised person
As Published: 2015
non-UK relevant authorised person
64 (a) an EEA relevant authorised person ; or (b) a third-country relevant authorised person .
Prospectus Rules
As Published: 2005
Prospectus Rules
(as defined in section 73A(4) of the Act ) rules expressed to relate to transferable securities . 30…
designated multilateral development bank
As Published: 2009
designated multilateral development bank
56 Any of the following: (a) African Development Bank; (b) Asian Development Bank; (c) Council of Europe Development Bank; (d) European Bank for Reconstruction and Development; (e) European Investment…
common platform record-keeping requirements
As Published: 2006
common platform record-keeping requirements
the record-keeping requirements applicable to common platform firms set out in 56 47 SYSC 9 .
Financial Ombudsman Service Limited
As Published: 2001
Financial Ombudsman Service Limited
the body corporate established by the FSA under paragraph 2(1) of Schedule 17 to the Act (The Scheme Operator) (as originally enacted) 151 to administer the Financial Ombudsman Service . 2…
emissions allowance
As Published: 2012
emissions allowance
73 an 'allowance', within the meaning of article 3(a) of Directive 2003/87/EC of the European Parliament and of the Council of 13 October 2003 establishing a scheme for greenhouse gas emission allowan…
simplified prospectus
As Published: 2005
simplified prospectus
32 a marketing document containing information about a simplified prospectus scheme 54 , which complies with COLL 4.6.2R 49 (Production and publication of simplified prospectus) and COLL 4.6.8R 49 (Ta…
AIFM Remuneration Code staff
As Published: 2013
AIFM Remuneration Code staff
101 (for an AIFM ) has the meaning given in SYSC 19B.1.3 R .
CRD full-scope firm
As Published: 2013
CRD full-scope firm
153 an investment firm as defined in article 4(1)(2) of the EU CRR that is subject to the requirements imposed by MiFID (or which would be subject to that Directive if its head office were in an EEA S…
independent advice
As Published: 2010
independent advice
89 a personal recommendation to a retail client in relation to a retail investment product where the personal recommendation provided meets the requirements of the rule on independent advice ( COBS 6.
public offer
As Published: 2001
public offer
5 an offer of securities to the public and described in the POS Regulations .
policy summary
As Published: 2004
policy summary
21 a summary of a non-investment insurance contract in the format and 62 containing the information specified in ICOBS 6 Annex 2 62 .
historic price
As Published: 2001
historic price
a price calculated by reference to the valuation point immediately preceding the authorised fund manager's agreement to sell or, as the case may be, to redeem the units in question. 1…