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simplified ILAS BIPRU firm
As Published: 2009
simplified ILAS BIPRU firm
84 an ILAS BIPRU firm that, in accordance with the procedures in BIPRU 12 (Liquidity), is using the simplified ILAS .
third-country countercyclical buffer authority
As Published: 2014
third-country countercyclical buffer authority
60 the authority of a third country empowered by law or regulation with responsibility for setting the countercyclical buffer rate for that third country .
incoming EEA AIFM branch
As Published: 2013
incoming EEA AIFM branch
114 an incoming EEA firm which is an AIFM and exercising its right to establish a branch under AIFMD .
market making strategy
As Published: 2018
market making strategy
126 a strategy undertaken by a person where: (a) the person is a member or participant of one or more trading venues ; (b) the person’s strategy, when dealing on own account , involves posting firm, s…
MiFID RTS 23
As Published: 2017
MiFID RTS 23
118 Commission Delegated Regulation (EU) No 2017/585 of 14 July 2016 supplementing MiFIR with regard to regulatory technical standards for the data standards and formats for financial instrument refer…
property authorised investment fund
As Published: 2008
property authorised investment fund
an open-ended investment company to which Part 4A of the Authorised Investment Funds (Tax) Regulations 2006 (SI 2006/964) applies. 65…
circular
As Published: 2005
circular
(in LR ) any document issued to holders of listed securities including notices of meetings but excluding prospectuses , listing particulars , annual reports and accounts, interim reports, proxy cards…
class meeting
As Published: 2001
class meeting
(in COLL ) a separate meeting of holders of a class of units . 3 20…
Independent Investigator
As Published: 2001
Independent Investigator
the former Ombudsman under the FSA scheme . 1…
dealing day
As Published: 2001
dealing day
(in COLL ) the period in a business day (in accordance with provisions of the prospectus ) during which the ACD or the operator is open for business. 3…
legal expenses
As Published: 2001
legal expenses
(in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph 17 of Part I of Schedule 1 to the Regulated Activities Order (Contracts of general insura…
CBTL firm
As Published: 2015
CBTL firm
291 (1) (other than in DISP ) a person included by the FCA in the Financial Services Register pursuant to article 8(1) of the MCD Order . (2) (in DISP and FEES 5.5B ) a person 213 within (1) who is no…
standard methods of internal client money reconciliation
As Published: 2014
standard methods of internal client money reconciliation
(a) [deleted] (b) the methods of internal client money reconciliation described in CASS 7.16 . 124…
intra-group transactions
As Published: 2004
intra-group transactions
27 (in accordance with Article 2(18) of the Financial Groups Directive (Definitions)) all transactions by which regulated entities within a financial conglomerate rely either directly or indirectly up…