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MCD mortgage credit intermediary
As Published: 2015
MCD mortgage credit intermediary
99 in relation to an MCD regulated mortgage contract : (a) an MCD mortgage arranger ; or (b) an MCD mortgage adviser . [Note: article 4(5) and (21) of the MCD ]…
third-country group
As Published: 2004
third-country group
13 a third-country financial conglomerate or a third-country banking and investment group .
decision notice
As Published: 2001
decision notice
a notice issued by the appropriate regulator 158 in accordance with section 388 of the Act (Decision notices). 3…
initial commitment
As Published: 2006
initial commitment
52 (for the purposes of BIPRU and in relation to underwriting ) the date specified in BIPRU 7.8.13 R (Time of initial commitment).
Payment Accounts Regulations
As Published: 2016
Payment Accounts Regulations
147 Accounts Regulations 2015 (SI 2015/2038).
regulated market transaction
As Published: 2007
regulated market transaction
52 a transaction concluded by a firm on a regulated market with another member or participant of that regulated market .
mixed insurer
As Published: 2006
mixed insurer
35 an insurer (other than a pure reinsurer ) which carries on reinsurance business and where one or more of the following conditions is met in respect of its reinsurance acceptances: (a) the premiums…
ring-fencing implementation fee(s)
As Published: 2016
ring-fencing implementation fee(s)
165 the fee or fees in FEES 4 Annex 2BR(2) .
DISP Sch 3 Fees and other required payment
As Published: 2002
DISP Sch 3 Fees and other required payment
…
administering a specified benchmark
As Published: 2013
administering a specified benchmark
98 The regulated activity , specified in article 63O(1)(b) of the Regulated Activities Order , which means: (1) administering the arrangements for determining a specified benchmark , or (2) collecting…
SFA Complaints Bureau
As Published: 2001
SFA Complaints Bureau
the first stage of the SFA scheme , which aimed to resolve complaints by conciliation. 1…
restricted advice
As Published: 2010
restricted advice
85 (a) a personal recommendation to a client 172 which is not independent advice ; or (b) basic advice .
EMPS Ann 1 These provisions have been moved to the Supervision Manual (SUP 21).
As Published: 2001
EMPS Ann 1 These provisions have been moved to the Supervision Manual (SUP 21).
…
conditional sale agreement
As Published: 2013
conditional sale agreement
149 in accordance with article 60L of the Regulated Activities Order , an agreement for the sale of goods or land under which the purchase price or part of it is payable by instalments, and the proper…
commercial customer
As Published: 2004
commercial customer
17 (in ICOBS ) 180 a customer who is not a consumer 67 .
primary information provider
As Published: 2013
primary information provider
105 a person approved by the FCA under section 89P of the Act .
large business customer
As Published: 2003
large business customer
7 (in relation to a regulated mortgage contract or qualifying credit , and in relation to an activity to be carried on by a firm ) a client , if the credit is for the purposes of a business which has…
offer document
As Published: 2003
offer document
9 (in MCOB ) a document in which the home finance provider 26 offers to enter into a home finance transaction 26 with a customer .
notice of discontinuance
As Published: 2001
notice of discontinuance
a notice given by the appropriate regulator 105 in accordance with section 389 of the Act (Notices of discontinuance) which states that the appropriate regulator 105 has decided not to take the action…
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.