Search Result
sub-fund
As Published: 2001
sub-fund
(a) (in relation to an authorised fund that is an umbrella 51 51 ) a separate part of the scheme property of that scheme that is pooled separately; (aa) (in relation to an EEA UCITS scheme ) any part…
ADR Directive
As Published: 2015
ADR Directive
120 187 Directive 2013/11/EU of the European Parliament and of the Council of 21 May 2013 on alternative dispute resolution for consumer disputes and amending Regulation (EC) No 2006/2004 and Directiv…
third party prospectus
As Published: 2007
third party prospectus
32 a communication made by a firm if the communication is a prospectus that has been drawn up and published in accordance with the Prospectus Directive and the firm is not responsible under that direc…
image advertising
As Published: 2007
image advertising
62 a communication that consists only of one or more of the following: (a) the name of the firm ; (b) a logo or other image associated with the firm ; (c) a contact point; and (d) a reference to the t…
payer
As Published: 2015
payer
(1) (for the purposes of FEES 9 ) a person who holds a payment account and allows instructions to be given to transfer funds from that payment account, or who gives instructions to transfer funds. 159…
MAR 6.3 Criteria for determining whether an investment firm is a systematic internaliser [deleted]
As Published: 2017
MAR 6.3 Criteria for determining whether an investment firm is a systematic internaliser [deleted]
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manufacturer
As Published: 2017
manufacturer
118 a firm which creates, develops, issues, and/or designs investments , including when advising corporate issuers on the launch of new investments . [Note: recital 15 to the MiFID Delegated Directive…
MiFID RTS 22
As Published: 2017
MiFID RTS 22
118 Commission Delegated Regulation (EU) 2017/590 of 28 July 2016 supplementing MiFIR with regard to regulatory technical standards for the reporting of transactions to competent authorities.
customer function
As Published: 2001
customer function
281 197 FCA controlled function CF30 in Parts 1 and 2 of the table of FCA controlled functions 197 , described more fully in SUP 10A.10.7 R . 281…
interest rate duration method
As Published: 2006
interest rate duration method
52 the method of calculating the part of the interest rate PRR that relates to general market risk set out in BIPRU 7.2.63 R (General market risk calculation: Duration method).
financial derivative instrument
As Published: 2006
financial derivative instrument
(for the purposes of BIPRU ) 73 23 has the meaning in BIPRU 13.3.3 R (Definition of a financial derivative instrument); the definition is adjusted for the purposes of the definition of counterparty ri…
unlawful disclosure
As Published: 2016
unlawful disclosure
67 the behaviour described in article 10 of the Market Abuse Regulation .
resecuritisation
As Published: 2006
resecuritisation
46 in BIPRU 7 and 9 , a securitisation where the risk associated with an underlying pool of exposures is tranched and at least one of the underlying exposures is a securitisation position . 102 [Note:…
packaged retail and insurance-based investment product
As Published: 2017
packaged retail and insurance-based investment product
154 a product that is: (1) a packaged retail and insurance-based investment product within the meaning of article 4(3) of the PRIIPs Regulation ; and (2) not exempt from the application of the PRIIPs…
entering into a home finance transaction
As Published: 2006
entering into a home finance transaction
31 any of the regulated activities of entering into a regulated mortgage contract , entering into a home purchase plan , entering into a home reversion plan or entering into a regulated sale and rent…
Money Advice Service
As Published: 2011
Money Advice Service
73 the consumer financial education body ( CFEB ) originally 167 established by the FSA under section 6A(1) of the Act (Enhancing public understanding of financial matters etc) (as it had effect befor…
MAR 6.12 Execution price of client orders not matching quotation sizes [deleted]
As Published: 2009
MAR 6.12 Execution price of client orders not matching quotation sizes [deleted]
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SUP 16 Annex 36A Close Links Annual Report
As Published: 2013
SUP 16 Annex 36A Close Links Annual Report
…