Search Result
MLAR
As Published: 2004
MLAR
15 (in SUP ) a Mortgage Lending and Administration Return containing data specified in SUP 16 Annex 19A and relevant to the firm's type and regulated activities .
pensions guidance levy
As Published: 2015
pensions guidance levy
121 the amount payable to the FCA by the firms to which FEES 10 (Pensions guidance levy) applies.
insolvency order
As Published: 2001
insolvency order
5 an administration order, compulsory winding up order, bankruptcy order, or sequestration order. 42…
pawnor
As Published: 2014
pawnor
116 includes any person to whom the rights and duties of the original pawnor have passed by assignment or operation of law.
executive director function
As Published: 2018
executive director function
130 FCA controlled function SMF3 in the table of FCA-designated senior management functions , described more fully in SUP 10C.5.1R to 10C.5.12R .
credit unions day
As Published: 2005
credit unions day
37 (in relation to a Great Britain credit union ) 1 July 2002 or (in relation to a Northern Ireland credit union ) 31 March 2012. 127…
APER App 1.1 This appendix has been removed until further notice
As Published: 2011
APER App 1.1 This appendix has been removed until further notice
…
Promotion of Collective Investment Schemes Order
As Published: 2014
Promotion of Collective Investment Schemes Order
223 the Financial Services and Markets Act 2000 (Promotion of Collective Investment Schemes) (Exemptions) Order 2001.
limited liability partnership
As Published: 2001
limited liability partnership
(a) a body corporate incorporated under the Limited Liability Partnerships Act 2000; (b) a body corporate incorporated under legislation having the equivalent effect to the Limited Liability Partnersh…
sub-pool
As Published: 2014
sub-pool
124 a discrete pool of client money established under CASS 7.19 , which after a primary pooling event includes the client money that is required to be included in the pool under CASS 7A.2.4R(1A) 164 .
known close associate of a politically exposed person
As Published: 2018
known close associate of a politically exposed person
13 as defined in regulation 35(12) of the Money Laundering Regulations .
MCD credit adviser
As Published: 2015
MCD credit adviser
99 a firm with permission (or which ought to have permission ) to carry on the activity, by way of business, of advising on regulated credit agreements for the acquisition of land . [Note: article 4(2…
Personal Insurance Arbitration Service
As Published: 2001
Personal Insurance Arbitration Service
the former scheme set up on a voluntary basis and run by the Chartered Institute of Arbitrators to handle complaints against those insurance companies which subscribed to it. 2…
AIFM management functions
As Published: 2013
AIFM management functions
96 the management functions of an AIFM listed in Annex I to AIFMD .
dealing
As Published: 2005
dealing
24 (1) 107 (in accordance with paragraph 2 of Schedule 2 to the Act ( Regulated activities ) 107 buying, selling, subscribing for or underwriting investments or offering or agreeing to do so, either a…
ongoing basis
As Published: 2010
ongoing basis
45 in BIPRU 9.15 , maintaining on an ongoing basis means that the retained positions, interest or exposures are not hedged or sold. [Note: BCD , Article 122a, paragraph 1]…
port
As Published: 2012
port
in respect of the assets and positions recorded in a client transaction account that is an individual client account or an omnibus client account at an authorised central counterparty , action taken b…