Search Result
margined contract
As Published: 2001
margined contract
3 16 (in COLL , 44 CASS 4 and CASS 7 44 ) any contract in derivatives .
EEA authorised electronic money institution
As Published: 2011
EEA authorised electronic money institution
71 173 (in accordance with regulation 2(1) of the Electronic Money Regulations ) a person authorised in an EEA State other than the United Kingdom to issue electronic money and provide payment service…
chargeable case (general)
As Published: 2013
chargeable case (general)
291 a chargeable case that is not a chargeable case (PPI) .
ex-section 43 lead regulated firm
As Published: 2001
ex-section 43 lead regulated firm
an ex-section 43 firm for which the FSA (in its capacity as the regulatory body under section 43 of the Financial Services Act 1986) was lead regulator for financial supervision purposes, and that was…
CASS debt management firm
As Published: 2014
CASS debt management firm
157 a firm which: (a) carries on the activities of debt counselling or debt adjusting , alone or together, with a view to an individual entering into a particular debt solution ; or (b) carries on the…
IFR
As Published: 2016
IFR
141 Regulation (EU) 2015/751 of the European Parliament and of the Council of 29 April 2015 on interchange fees for card-based payment transactions.
non-trading book
As Published: 2006
non-trading book
19 positions, exposures, assets and liabilities that are not in the trading book .
tax exempt policy
As Published: 2001
tax exempt policy
any contract of assurance, offered or issued by a friendly society , which is tax exempt life or endowment business as defined in section 466 (2) of the Income and Corporation Taxes Act 1988. 3…
repo
As Published: 2001
repo
(a) an agreement between a seller and buyer for the sale of securities , under which the seller agrees to repurchase the securities , or equivalent securities , at an agreed date and, usually, at a st…
offer
As Published: 2001
offer
(1) (in MAR 1 (Market Abuse 82 )) an offer as defined in the Takeover Code . (2) [deleted] 83 18 4 18 (3) (in LR 32 and 32 PR 32 ) an offer of transferable securities to the public . 20…
current market value
As Published: 2006
current market value
48 (in accordance with Part 1 of Annex III of the Banking Consolidation Directive (Definitions) and for the purpose of BIPRU 13.5 (CCR standardised method)) the net market value of the portfolio of tr…
United Kingdom
As Published: 2001
United Kingdom
England and Wales, Scotland and Northern Ireland (but not the Channel Islands or the Isle of Man). 2…
partner function
As Published: 2001
partner function
224 145 FCA controlled function CF4 in Part 1 of the table of FCA controlled functions , described more fully in SUP 10A.6.23 R to SUP 10A.6.27 R . 224 145…
home finance adviser
As Published: 2006
home finance adviser
8 a firm with permission (or which ought to have permission ) for advising on a home finance transaction .
Consolidated Motor Insurance Directive
As Published: 2010
Consolidated Motor Insurance Directive
113 the European Parliament and Council Directive of 16 September 2009 relating to insurance against civil liability in respect of the use of motor vehicles, and the enforcement of the obligation to i…
Business Order
As Published: 2004
Business Order
10 the Financial Services and Markets Act 2000 (Carrying on Regulated Activities by Way of Business Order) 2001 (SI 2001/1177).
made to; made only to; to whom it is made
As Published: 2007
made to; made only to; to whom it is made
47 a financial promotion is made to a person if it is addressed, whether orally or in legible form, to a particular person or person s (for example where it is contained in a telephone call or letter)…