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group respondents
As Published: 2013
group respondents
85 all respondents identified as part of the relevant charging group as defined in FEES 5 Annex 3R Part 3 .
tier two capital resources
As Published: 2004
tier two capital resources
14 the sum calculated at stage I (Total tier two capital) 26 of the calculation in the capital resources table 26 .
equivalent business of a third country investment firm
As Published: 2006
equivalent business of a third country investment firm
33 the business of a third country investment firm carried on from an establishment in the United Kingdom that would be MiFID business if that firm were a MiFID investment firm .
CASS large debt management firm
As Published: 2014
CASS large debt management firm
157 a CASS debt management firm falling within the classification of CASS large debt management firm in CASS 11.2.3 R .
Disciplinary Tribunal
As Published: 2001
Disciplinary Tribunal
a Tribunal appointed under Schedule 2 to Lloyd's Disciplinary Committees Byelaw (No 31 of 1996). 3…
MIPRU Sch 3 Fees and other required payments
As Published: 2006
MIPRU Sch 3 Fees and other required payments
…
ADR Regulations
As Published: 2015
ADR Regulations
120 188 the Alternative Dispute Resolution for Consumer Disputes (Competent Authorities and Information) Regulations 2015 (SI 2015/542).
terminating event
As Published: 2001
terminating event
(as defined in article 2(1) of the compensation transitionals order ) in relation to applications made under an investment business compensation scheme , the withdrawal, discontinuance or rejection of…
cross border services
As Published: 2001
cross border services
(1) (in relation to a UK firm ) services provided within an EEA State other than the United Kingdom under the freedom to provide services. (2) (in relation to an incoming EEA firm or an incoming Treat…
UK parent financial holding company in a Member State
As Published: 2006
UK parent financial holding company in a Member State
19 a parent financial holding company in a Member State where the EEA State in question is the United Kingdom .
RAP regulations
As Published: 2011
RAP regulations
105 the Recognised Auction Platforms Regulations 2011 (SI 2011/2699).
own-initiative powers
As Published: 2013
own-initiative powers
the 117 FCA's or the PRA's own-initiative variation power and own-initiative requirement power .
business offer document
As Published: 2003
business offer document
9 an offer document for a regulated mortgage contract that is for a business purpose.
loaned funds
As Published: 2014
loaned funds
57 (in IPRU(INV) ) any funds that have been provided to borrowers under a P2P agreement through an operator of an electronic system in relation to lending .
relevant financial system
As Published: 2010
relevant financial system
87 (in accordance with section 169A(5) of the Act (Support of overseas regulator with respect to financial stability)) a financial system including: (a) financial markets and exchanges; (b) activities…
interim permission
As Published: 2013
interim permission
122 in accordance with article 56 of the Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No.2) Order 2013, subject to article 59 of that Order, to be treated as: (a) in rel…
key investor information document
As Published: 2011
key investor information document
8 a short document containing key investor information for investors in a UCITS scheme 10 on the essential elements of the scheme 10 , as detailed in COLL 4.7.2 R (Key investor information).