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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)…
incoming data reporting services provider
As Published: 2017
incoming data reporting services provider
150 a data reporting services provider authorised or applying for authorisation under Title V of MiFID 150 in an EEA State , other than the UK , to provide a data reporting service in the UK .
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…
prohibited action
As Published: 2016
prohibited action
151 an action which a ring-fenced body is prohibited from taking by an order made under section 142E of the Act .
UCITS remuneration principles
As Published: 2016
UCITS remuneration principles
69 the principles set out in SYSC 19E.2.5R to SYSC 19E.2.27R .
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 284 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…
MiFID ITS 19
As Published: 2017
MiFID ITS 19
118 Commission Implementing Regulation (EU) 2016/824 of 25 May 2016 laying down implementing technical standards with regard to the content and format of the description of the functioning of MTFs and…
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 230 130 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…