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FIT
As Published: 2001
FIT
the part of the Handbook in High Level Standards which has the title the Fit and Proper test for Approved Persons. 2…
open-end agreement
As Published: 2014
open-end agreement
64 a credit agreement with no fixed duration.
retail investment
As Published: 2004
retail investment
(a) a life policy ; or 19 (b) a unit ; or 19 (c) a stakeholder pension scheme ; or 19 (ca) a personal pension scheme ; or 40 (d) an interest in an investment trust savings scheme ; or 19 (e) a structu…
price information
As Published: 2003
price information
14 (in MCOB ) information, in a financial promotion 39 , that relates to: (a) any rate of charge; or (b) the presence or absence of any payments, fees or charges 123 ; or (c) the amount, frequency or…
solicited real time financial promotion
As Published: 2001
solicited real time financial promotion
(in accordance with article 8 of the Financial Promotion Order ) a real time financial promotion which is solicited, that is, it is made in the course of a personal visit, telephone call or other inte…
non-EEA insurer
As Published: 2004
non-EEA insurer
13 an insurer whose head office is not in an EEA State .
Transparency Directive
As Published: 2006
Transparency Directive
64 64 64 70 the European Parliament and Council Directive on the harmonisation of transparency requirements in relation to information about issuers whose securities are admitted to trading on a regul…
UNFCOG
As Published: 2007
UNFCOG
24 the Unfair Contract Terms and Consumer Notices 63 Regulatory Guide.
IFPRU Sch 3 Fees and other requirement payments
As Published: 2014
IFPRU Sch 3 Fees and other requirement payments
…
non-discretionary management agreement
As Published: 2001
non-discretionary management agreement
an agreement for the non-discretionary management of investments : (a) under which the firm agrees to conduct a regular review of the suitability of the client's account or portfolio, based on an asse…
common platform requirements on financial crime
As Published: 2006
common platform requirements on financial crime
the requirements on financial crime applicable to common platform firms set out in 56 47 SYSC 6.3 .
domestic UCITS merger
As Published: 2011
domestic UCITS merger
71 (in COLL and in accordance with article 2(1)(r) of the UCITS Directive ) a UCITS merger between two or more UCITS schemes in relation to which a UCITS marketing notification has been made in respec…
MCD article 3(1)(b) credit intermediation activity
As Published: 2015
MCD article 3(1)(b) credit intermediation activity
99 the activity of acting as an MCD article 3(1)(b) credit intermediary . [Note: article 4(5) and (21) of the MCD ]…
DGD claim
As Published: 2001
DGD claim
86 a claim , in relation to a protected deposit , against a CRD credit institution , whether established in the United Kingdom or in another EEA State .
margined contract
As Published: 2001
margined contract
3 16 (in COLL , 44 CASS 4 and CASS 7 44 ) any contract in derivatives .
EEA authorised electronic money institution
As Published: 2011
EEA authorised electronic money institution
71 173 (in accordance with regulation 2(1) of the Electronic Money Regulations ) a person authorised in an EEA State other than the United Kingdom to issue electronic money and provide payment service…
dealing in investments as agent
As Published: 2001
dealing in investments as agent
92 the regulated activity , specified in article 21 of the Regulated Activities Order (Dealing in investments as agent), which is in summary: buying , selling , subscribing for or underwriting designa…
stakeholder pension scheme
As Published: 2001
stakeholder pension scheme
a scheme that meets the conditions in section 1 of the Welfare Reform and Pensions Act 1999 or article 3 of the Welfare Reform and Pensions (Northern Ireland) Order 1999. 54…