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recognised overseas investment exchange
As Published: 2001
recognised overseas investment exchange
an overseas investment exchange which is declared by a recognition order for the time being in force to be a recognised investment exchange . 5…
administering a home reversion plan
As Published: 2006
administering a home reversion plan
32 the regulated activity , specified in article 63B(2) of the Regulated Activities Order , which is in summary: administering a home reversion plan where the plan was entered into on or after 6 April…
platform service provider
As Published: 2011
platform service provider
92 a firm providing a platform service .
regulated covered bond
As Published: 2008
regulated covered bond
70 (in RCB ) (as defined in Regulation 1(2) of the RCB Regulations ) a covered bond or programme of covered bonds , as the case may be, which is admitted to the register of regulated covered bonds mai…
energy collective investment scheme
As Published: 2001
energy collective investment scheme
a collective investment scheme , the property of which consists only of energy , energy investments, emissions allowances 73 , tradable renewable energy credits or cash awaiting investment. 2…
limit order
As Published: 2007
limit order
23 an order to buy or sell a financial instrument at its specified price limit or better and for a specified size. [Note: article 4(1)(14) 73 of MiFID ]…
Part 6 rules
As Published: 2005
Part 6 rules
26 (as defined in section 73A of the Act ) rules made for the purposes of Part VI of the Act .
protected debt management business
As Published: 2017
protected debt management business
160 debt management activities which are covered by the compensation scheme , as set out in COMP 5.8.1R .
goods in transit
As Published: 2001
goods in transit
(in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph 7 of Part I of Schedule 1 to the Regulated Activities Order (Contracts of general insuran…
lower tier three capital
As Published: 2006
lower tier three capital
22 an item of capital that is specified in stage P of the capital resources table (Lower tier three).
general client bank account
As Published: 2001
general client bank account
a client bank account that holds client money of one or more clients , which includes in its title the word "client" (or, if the systems constraints of the approved bank or the firm that holds the acc…
supervisory authority
As Published: 2013
supervisory authority
118 (1) (in accordance with article 4(1)(al) of AIFMD ) (for a non-EEA AIF ) the national authority or authorities of the non-EEA State empowered by law or regulation to supervise AIFs in that non-EEA…
sale
As Published: 2001
sale
(in COLL ) (in relation to units in an authorised fund ) the sale of units by the authorised fund manager as principal . 5…
PRIIPs Regulation
As Published: 2017
PRIIPs Regulation
154 Regulation (EU) No 1286/2014 of the European Parliament and of the Council of 26 November 2014 on key information documents for packaged retail and insurance-based investment products (PRIIPs). ht…
collective investment undertaking other than the closed-end type
As Published: 2005
collective investment undertaking other than the closed-end type
(in PR ) (as defined in Article 2.1(o) of the prospectus directive ) unit trusts and investment companies: (a) the object of which is the collective investment of capital provided by the public, and w…
accepting deposits
As Published: 2001
accepting deposits
4 the regulated activity , specified in article 5 of the Regulated Activities Order (Accepting deposits), which is in summary: accepting deposits if: (a) money received by way of deposit is lent to ot…