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circular
As Published: 2005
circular
(in LR ) any document issued to holders of listed securities including notices of meetings but excluding prospectuses , listing particulars , annual reports and accounts, interim reports, proxy cards…
class meeting
As Published: 2001
class meeting
(in COLL ) a separate meeting of holders of a class of units . 3 20…
Market Abuse Regulation
As Published: 2016
Market Abuse Regulation
110 regulation (EU) No 596/2014 of the European Parliament and of the Council of 16 April 2014 on market abuse (market abuse regulation) and repealing the Market Abuse Directive and Commission Directi…
Independent Investigator
As Published: 2001
Independent Investigator
the former Ombudsman under the FSA scheme . 1…
dealing day
As Published: 2001
dealing day
(in COLL ) the period in a business day (in accordance with provisions of the prospectus ) during which the ACD or the operator is open for business. 3…
legal expenses
As Published: 2001
legal expenses
(in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph 17 of Part I of Schedule 1 to the Regulated Activities Order (Contracts of general insura…
standard methods of internal client money reconciliation
As Published: 2014
standard methods of internal client money reconciliation
(a) [deleted] (b) the methods of internal client money reconciliation described in CASS 7.16 . 124…
money market fund
As Published: 2011
money market fund
74 an authorised fund or, in the case of an umbrella , a sub-fund (if it were a separate fund) which satisfies the conditions in COLL 5.9.5 R (Investment conditions: money market funds) and is not a q…
intra-group transactions
As Published: 2004
intra-group transactions
27 (in accordance with Article 2(18) of the Financial Groups Directive (Definitions)) all transactions by which regulated entities within a financial conglomerate rely either directly or indirectly up…
UK parent mixed financial holding company in a Member State
As Published: 2013
UK parent mixed financial holding company in a Member State
53 a parent mixed financial holding company in a Member State where the EEA State in question is the UK .
innovative tier one instrument
As Published: 2004
innovative tier one instrument
32 a potential tier one instrument that is stated in GENPRU 2.2 (Capital resources) 52 to be an innovative instrument.
SRB agreement provider
As Published: 2009
SRB agreement provider
78 (in accordance with article 63J(3)(a) of the Regulated Activities Order ) a firm which buys all or part of the qualifying interest in land in the United Kingdom from a SRB agreement seller under a…
member society
As Published: 2001
member society
2 (as defined in article 2(2) of the compensation transitionals order ) a person who at any time before commencement was a member society within the rules of the Friendly Societies Protection Scheme e…
IBNR
As Published: 2004
IBNR
32 (in relation to claims (as defined for the purposes of INSPRU 52 , SUP and TC )) claims that have been incurred but not reported arising out of events that have occurred by the balance sheet date b…
high net worth offer document
As Published: 2012
high net worth offer document
28 an offer document for a regulated mortgage contract to a high net worth mortgage customer .
consolidated basis
As Published: 2013
consolidated basis
153 has the meaning in article 4(1)(48) of the EU CRR .
Deposit Guarantee Directive
As Published: 2001
Deposit Guarantee Directive
the Council Directive of 13 May 1994 on deposit-guarantee schemes (No 94/19/EC). 3…