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own account order
As Published: 2001
own account order
an order which relates to an own account transaction . 4…
professional firm
As Published: 2001
professional firm
5 2 a person which is: (a) an individual who is entitled to practise a profession regulated by a designated professional body and, in practising it, is subject to its rules, whether or not he is a mem…
published recommendation
As Published: 2001
published recommendation
5 any publication by or on behalf of a firm (including publication by sound broadcasting or television or other electronic means) which contains: (a) the results of research into investments ; or (b)…
top-up permission
As Published: 2001
top-up permission
a Part 4A permission 119 given to an incoming EEA firm , an incoming Treaty firm or a UCITS qualifier . 3…
distribution channels
As Published: 2007
distribution channels
39 a channel through which information is, or is likely to become, publicly available. Information which is "likely to become publicly available" means information to which a large number of persons h…
benchmark endorser
As Published: 2018
benchmark endorser
74 a person : (1) whose endorsement of a benchmark or family of benchmarks has been authorised by the FCA in accordance with article 33(3) of the benchmarks regulation ; and (2) who has not had that a…
UK financial system
As Published: 2010
UK financial system
38 (as defined in section 1I of the Act (Meaning of "the UK financial system" 97 )) the financial system operating in the United Kingdom including: (a) financial markets and exchanges; (b) regulated a…
MiFID/MiFIR Systems Regulations
As Published: 2017
MiFID/MiFIR Systems Regulations
118 MiFID RTS 7 to MiFID RTS 12 inclusive, MiFID RTS 25 and MiFID RTS 26 .
credit transfer
As Published: 2018
credit transfer
215 (in accordance with regulation 2(1) of the Payment Services Regulations ) a payment service for crediting a payee’s payment account with a payment transaction or a series of payment transactions f…
proven reserves
As Published: 2005
proven reserves
(in LR ): (a) in respect of mineral companies primarily involved in the extraction of oil and gas resources, those reserves which, on the available evidence and taking into account technical and econo…
eligible claimant
As Published: 2001
eligible claimant
a person who is eligible to bring a claim for compensation under COMP 4.2.1 R . 4…
annual income
As Published: 2006
annual income
127 (1) (in MIPRU) the income referred to in MIPRU 4.3 . (2) (in IPRU(INV) 13) the income referred to in (Calculation of annual income). 127…
applicant
As Published: 2005
applicant
(1) (in LR ) an issuer which is applying for admission of securities . (2) (in PR ) an applicant for approval of a prospectus or supplementary prospectus relating to transferable securities . 23…
document evidencing title
As Published: 2001
document evidencing title
any means of evidencing title whether in documentary form or otherwise. 3…
entering into a regulated credit agreement as lender
As Published: 2013
entering into a regulated credit agreement as lender
87 the regulated activity specified in article 60B(1) of the Regulated Activities Order .
MAR 6.10 Execution price of retail client orders [deleted]
As Published: 2009
MAR 6.10 Execution price of retail client orders [deleted]
…
supplementary listing particulars
As Published: 2005
supplementary listing particulars
(in LR ) (in accordance with section 81(1) of the Act ), supplementary listing particulars containing details of the change or new matter. 34…
Financial Action Task Force
As Published: 2001
Financial Action Task Force
the inter-governmental body responsible for developing and promoting policies, both nationally and internationally, to combat money laundering. 2…
debt adjuster
As Published: 2014
debt adjuster
87 a person who has, or ought to have, a Part 4A permission to carry on the regulated activity of debt adjusting and who negotiates with a lender on behalf of a customer the terms of discharge of a de…