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Financial Ombudsman Service Limited
As Published: 2001
Financial Ombudsman Service Limited
the body corporate established by the FSA under paragraph 2(1) of Schedule 17 to the Act (The Scheme Operator) (as originally enacted) 153 to administer the Financial Ombudsman Service . 2…
AIFM Remuneration Code staff
As Published: 2013
AIFM Remuneration Code staff
101 (for an AIFM ) has the meaning given in SYSC 19B.1.3 R .
independent director
As Published: 2014
independent director
131 a director whom an applicant 156 or listed company has determined to be independent under the UK Corporate Governance Code .
CRD full-scope firm
As Published: 2013
CRD full-scope firm
153 an investment firm as defined in article 4(1)(2) of the EU CRR that is subject to the requirements imposed by MiFID (or which would be subject to that Directive if its head office were in an EEA S…
COBS 12.3 Non-independent research [deleted]
As Published: 2017
COBS 12.3 Non-independent research [deleted]
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public offer
As Published: 2001
public offer
5 an offer of securities to the public and described in the POS Regulations .
TC 2.2B Reporting requirements [deleted]
As Published: 2011
TC 2.2B Reporting requirements [deleted]
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Pensions Ombudsman
As Published: 2018
Pensions Ombudsman
165 the person appointed as the Pensions Ombudsman by the Secretary of State under section 145 of the Pensions Schemes Act 1993.
framework contract
As Published: 2009
framework contract
36 156 (in accordance with regulation 2(1) of the Payment Services Regulations ) a contract for payment services which governs the future execution of individual and successive payment transactions 11…
member of the management body
As Published: 2017
member of the management body
118 (in relation to a UK recognised body ) any one of the following: (a) its chairman or president; or (b) its chief executive ; or (c) a member of its governing body ; or (d) a person who, alone or j…
policy summary
As Published: 2004
policy summary
21 a summary of a non-investment insurance contract in the format and 62 containing the information specified in ICOBS 6 Annex 2 62 .
historic price
As Published: 2001
historic price
a price calculated by reference to the valuation point immediately preceding the authorised fund manager's agreement to sell or, as the case may be, to redeem the units in question. 1…
occupational pension scheme
As Published: 2001
occupational pension scheme
(a) (a scheme 24 specified in article 3(1) of the Regulated Activities Order (Interpretation)) which is, in summary, a pension scheme established for the purpose of providing benefits to people with s…
COCON Sch 5 Rights of action for damages
As Published: 2015
COCON Sch 5 Rights of action for damages
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funds at Lloyd's
As Published: 2001
funds at Lloyd's
assets (not being syndicate assets ) provided by or on behalf of a member to meet the liabilities arising from the member 's insurance business at Lloyd's which are held in a Lloyd's trust fund and ma…