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large ACS investor
As Published: 2013
large ACS investor
49 in relation to an ACS , a person who in exchange for units in the scheme : (a) makes a payment of not less than £1,000,000; or (b) contributes property with a value of not less than £1,000,000.
sub-group
As Published: 2002
sub-group
(in relation to a person ): 23 (a) that person ; and (b) any person that is either: (i) a subsidiary undertaking of that person ; or (ii) an undertaking in which that person or a subsidiary undertakin…
annual statement provisions
As Published: 2006
annual statement provisions
32 (in MCOB ) in relation to a: (a) regulated mortgage contract , MCOB 7.5 ; (b) home purchase plan , MCOB 7.8.3 R to MCOB 7.8.6 R ; and (c) instalment reversion plan , MCOB 9.9.1 R to MCOB 9.9.3R (2)…
OPS collective investment scheme
As Published: 2001
OPS collective investment scheme
a collective investment scheme the contributions to which consist entirely of assets held for an occupational pension scheme . 4…
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…