Search Result
field representative
As Published: 2001
field representative
an appointed representative or, where applicable, a tied agent 30 , or an employee of the firm (or of its appointed representative or, where applicable, its tied agent 30 ), whose normal fixed place o…
providing information in relation to a specified benchmark
As Published: 2013
providing information in relation to a specified benchmark
106 The regulated activity , specified in article 63O(1)(a) of the Regulated Activities Order , which in summary means making benchmark submissions .
safeguarded benefits
As Published: 2015
safeguarded benefits
135 has the meaning given in section 48(8) of the Pension Schemes Act 2015 which is benefits other than money purchase benefits and cash balance benefits.
IFPRU TP 8 Countercyclical capital buffer: transitional
As Published: 2014
IFPRU TP 8 Countercyclical capital buffer: transitional
…
current account
As Published: 2013
current account
149 (in CONC App 1 ) an account under which the customer may, by means of cheques or similar orders payable to the customer or to any other person or by any other means, obtain or have the use of mone…
range of stakeholder products, range
As Published: 2004
range of stakeholder products, range
28 (in relation to a firm ) the range of stakeholder products on which the firm gives advice (see COBS 9.6 57 ); References to a firm's range (or ranges) of stakeholder products include, where the con…
current FCA approved person approval
As Published: 2013
current FCA approved person approval
281 a current approved person approval given by the FCA .
intermediate customer
As Published: 2001
intermediate customer
(for the purposes only of COBS TP 1 (Transitional Provisions in relation to Client Categorisation)) 68 any person classified as an 'intermediate customer' under COB on 31 October 2007, in accordance w…
refinance
As Published: 2013
refinance
127 see the definition of finance (except in relation to CONC 6.7.18 R to CONC 6.7.23 R and CONC 7.6.12 R ) 132 .
cash component
As Published: 2001
cash component
a qualifying investment prescribed in paragraph 8 of the ISA Regulations (Qualifying investments for a cash component). 3…
whole life assurance
As Published: 2001
whole life assurance
a contract of insurance which, disregarding any benefit payable on surrender, secures a capital sum only on death or either on death or on disability, but does not include a term assurance. 3…
Solvency II Directive
As Published: 2010
Solvency II Directive
92 the Directive of the European Parliament and of the Council of 25 November 2009 on the taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II) 131 (No. 2009/138/EC).
total return swap
As Published: 2016
total return swap
77 (in COLL and FUND ) a derivative contract defined in article 3(18) of the Securities Financing Transactions Regulation .
Financial Collateral Directive
As Published: 2007
Financial Collateral Directive
25 the Council Directive of 6 June 2002 relating to financial collateral arrangements (No. 2002/47/EC).
provider of credit information services
As Published: 2014
provider of credit information services
116 a person providing credit information services who has, or ought to have, a Part 4A permission to carry on the regulated activity of providing credit information services .
approved derivative
As Published: 2001
approved derivative
(1) (in COLL 63 ) a derivative which is traded or dealt in on an eligible derivatives market. 21 (2) (in 37 INSPRU 37 ) a derivative in respect of which the conditions in 37 INSPRU 3.2.5 R 37 are met.
waiver
As Published: 2001
waiver
a direction waiving or modifying a rule , given by the appropriate regulator 46 under section 138A of the Act (Modification or waiver of rules) or by the FCA under sections 46 250, 261L 24 or 294 of t…