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market abuse (manipulating devices)
As Published: 2005
market abuse (manipulating devices)
77 77 (1) (in accordance with section 118(6) of the Act (Market abuse)) the behaviour described in section 118(6) of the Act , which is effecting transactions or orders to trade which employ fictitiou…
firm in run-off
As Published: 2004
firm in run-off
13 a firm whose Part 4A permission 153 has been varied so as to remove the regulated activity of effecting contracts of insurance .
money service business
As Published: 2002
money service business
carrying on by way of business the activity of: (a) operating a bureau de change; or (b) transmitting money, or any representation of monetary value, by any means; or (c) cashing cheques which are mad…
internal client money reconciliation
As Published: 2014
internal client money reconciliation
132 the client money reconciliation described in CASS 7.15.12R.
model risk
As Published: 2013
model risk
87 the potential loss an institution may incur, as a consequence of decisions that could be principally based on the output of internal models used under any of the internal approaches, due to errors…
passported activity
As Published: 2001
passported activity
an activity carried on by an EEA firm , or by a UK firm , under an EEA right . 5…
announceable information
As Published: 2001
announceable information
4 information which is usually the subject of a public announcement, although not subject to any formal disclosure requirement.
Contractual Scheme Regulations
As Published: 2013
Contractual Scheme Regulations
147 the Collective Investment in Transferable Securities (Contractual Scheme) Regulations 2013 (SI 2013/1388).
programme
As Published: 2008
programme
70 (in RCB ) (as defined in Regulation 1(2) of the RCB Regulations ) issues, or series of issues, of covered bonds which have substantially similar terms and are subject to a framework contract or con…
Swiss general insurer
As Published: 2004
Swiss general insurer
28 a Swiss general insurance company which has permission to effect or carry out contracts of insurance of a kind which is subject to the Swiss Treaty Agreement .
IMA SORP
As Published: 2004
IMA SORP
26 the Statement of Recommended Practice for financial statements of authorised funds issued by the Investment Management Association on 14 May 2014. 139…
RCB 3 Annex 7A Loan level disclosure form
As Published: 2011
RCB 3 Annex 7A Loan level disclosure form
…
date of allotment
As Published: 2001
date of allotment
the date on which amounts of the relevant security are allotted to subscribers or purchasers and, where there is an initial or preliminary allotment subject to confirmation, the date of that initial o…
basic advice
As Published: 2004
basic advice
15 the regulated activity , specified in article 52B of the Regulated Activities Order (Providing basic advice on stakeholder products) which is, in summary, providing advice on stakeholder product s…
offer for subscription
As Published: 2005
offer for subscription
(in LR ) an invitation to the public by, or on behalf of, an issuer to subscribe for securities of the issuer not yet in issue or allotted (and may be in the form of an invitation to tender at or abov…
Money Laundering Regulations
As Published: 2002
Money Laundering Regulations
the Money Laundering Regulations 2007 (SI 2007/2157) 55 .
Gibraltar Order
As Published: 2001
Gibraltar Order
the Financial Services and Markets Act 2000 (Gibraltar) Order 2001 (SI 2001/3084). 3…