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advising on investments (except pension transfers and pension opt-outs)
As Published: 2004
advising on investments (except pension transfers and pension opt-outs)
advising on investments (except P2P agreements) other than 131 in respect of pension transfers and pension opt-outs .
non-equity transferable securities
As Published: 2005
non-equity transferable securities
(in PR ) (as defined in section 102A of the Act ) all transferable securities that are not equity securities. 15…
COBS 19 Annex 1 Retirement risk warnings - steps to take
As Published: 2015
COBS 19 Annex 1 Retirement risk warnings - steps to take
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managing a UCITS
As Published: 2013
managing a UCITS
84 the regulated activity , specified in article 51ZA of the Regulated Activities Order of carrying on collective portfolio management within the meaning of the UCITS Directive , in relation to a UCIT…
retirement fund
As Published: 2001
retirement fund
the amount which will be available, at the date on which the investor retires, for the provision of benefits. 5…
general liability
As Published: 2001
general liability
(in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph 13 of Part I of Schedule 1 to the Regulated Activities Order (Contracts of general insura…
payment initiation service provider
As Published: 2018
payment initiation service provider
159 (in accordance with regulation 2(1) of the Payment Services Regulations ) a payment service provider which provides payment initiation services .
transactions by acquirers operating in the United Kingdom
As Published: 2015
transactions by acquirers operating in the United Kingdom
69 all transactions acquired by: (a) UK -based acquirers (or an operator acting as such an acquirer ) 75 resulting in payments to merchants located in the United Kingdom ; (b) UK -based acquirers (or…
VJ participant
As Published: 2001
VJ participant
a person subject to the Voluntary Jurisdiction by contract. 1…
scheme property
As Published: 2001
scheme property
(a) (in relation to an ICVC ) the property subject to the collective investment scheme constituted by it; (b) (in relation to an AUT or ACS 114 ) the capital property and the income property . 5…
mortgage lender
As Published: 2003
mortgage lender
11 12 a firm with permission (or which ought to have permission ) for entering into a regulated mortgage contract .
contribution of input data
As Published: 2018
contribution of input data
225 the contribution of input data as defined in article 3.1(8) of the benchmarks regulation . [Note: contributing input data is not a regulated activity .]…
IFR transactions by card issuers operating in the United Kingdom
As Published: 2016
IFR transactions by card issuers operating in the United Kingdom
149 all transactions subject to the IFR on cards issued by UK -based card issuers (or an operator acting as such an card issuer ), where the acquirer is located in the EEA .
MCOB 2 Annex 1G Form of joint instruction letter
As Published: 2010
MCOB 2 Annex 1G Form of joint instruction letter
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loss given default
As Published: 2006
loss given default
22 (in accordance with Article 4(27) of the Banking Consolidation Directive (Definitions) and in relation to the IRB approach ) the ratio of the loss on an exposure due to the default of a counterpart…