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disclosure obligations
As Published: 2007
disclosure obligations
39 (in REC ) the initial, ongoing and ad hoc disclosure requirements contained in the relevant articles and given effect: (1) in the United Kingdom by Part 6 of the Act and Part 6 rules (within the me…
debt management client money chapter
As Published: 2014
debt management client money chapter
87 CASS 11 .
FINMAR Sch 3 Fees and other required payments
As Published: 2010
FINMAR Sch 3 Fees and other required payments
…
pension wrapper
As Published: 2007
pension wrapper
52 (in the cancellation rules ( COBS 15 )) a SIPP , pension contract or personal pension product .
tied MCD article 3(1)(b) credit intermediary
As Published: 2015
tied MCD article 3(1)(b) credit intermediary
67 an MCD article 3(1)(b) credit intermediary who acts on behalf of and under the full and unconditional responsibility of: (a) only one MCD article 3(1)(b) creditor ; (b) only one group ; or (c) a nu…
CTF bank account
As Published: 2004
CTF bank account
24 a bank account which fulfils the requirements of Regulation 11(5) of the CTF Regulations .
authorised unit trust manager
As Published: 2001
authorised unit trust manager
4 a manager of an AUT .
commodity simplified approach
As Published: 2006
commodity simplified approach
48 the method of calculating the commodity PRR in BIPRU 7.4.24 R (Simplified approach).
permitted activity
As Published: 2001
permitted activity
(1) (except in 33 SUP 13A 33 and SUP 14 ) a regulated activity which a firm has permission to carry on. (2) (in 33 SUP 13A 33 and SUP 14 ) an activity identified in a consent notice, a regulator's not…
payment initiation service
As Published: 2018
payment initiation service
159 (in accordance with regulation 2(1) of the Payment Services Regulations ) an online service to initiate a payment order at the request of the payment service user with respect to a payment account…
mortgage administrator
As Published: 2003
mortgage administrator
11 12 a firm with permission (or which ought to have permission ) for administering a regulated mortgage contract .
linked liabilities
As Published: 2007
linked liabilities
29 property-linked liabilities or index-linked liabilities .
future service restriction
As Published: 2017
future service restriction
106 any provision in an agreement between a firm and a client which, in addition to the products or services to which the agreement relates, grants the firm or an affiliated company of the firm : (1)…
insurance distributor
As Published: 2018
insurance distributor
160 an insurance intermediary or insurer . [Note: article 2(1)(8) of the IDD ]…
intermediate rate of return
As Published: 2007
intermediate rate of return
68 (in COBS ) the intermediate rate of return described in paragraph 2.3 of the projection rules ( COBS 13 Annex 2 ).
banking and investment services conglomerate
As Published: 2006
banking and investment services conglomerate
23 a financial conglomerate that is identified in paragraph 4.3 of GENPRU 3 Annex 1 (Types of financial conglomerate) as a banking and investment services conglomerate .
vendor consideration placing
As Published: 2005
vendor consideration placing
(in LR ) a marketing, by or on behalf of vendors, of securities that have been allotted as consideration for an acquisition. 6…