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offer document
As Published: 2003
offer document
9 (in MCOB ) a document in which the home finance provider 26 offers to enter into a home finance transaction 26 with a customer .
notice of discontinuance
As Published: 2001
notice of discontinuance
a notice given by the appropriate regulator 103 in accordance with section 389 of the Act (Notices of discontinuance) which states that the appropriate regulator 103 has decided not to take the action…
large ACS investor
As Published: 2013
large ACS investor
49 in relation to an ACS , a person who in exchange for units in the scheme : (a) makes a payment of not less than £1,000,000; or (b) contributes property with a value of not less than £1,000,000.
sub-group
As Published: 2002
sub-group
(in relation to a person ): 23 (a) that person ; and (b) any person that is either: (i) a subsidiary undertaking of that person ; or (ii) an undertaking in which that person or a subsidiary undertakin…
annual statement provisions
As Published: 2006
annual statement provisions
32 (in MCOB ) in relation to a: (a) regulated mortgage contract , MCOB 7.5 ; (b) home purchase plan , MCOB 7.8.3 R to MCOB 7.8.6 R ; and (c) instalment reversion plan , MCOB 9.9.1 R to MCOB 9.9.3R (2)…
incoming data reporting services provider
As Published: 2017
incoming data reporting services provider
150 a data reporting services provider authorised or applying for authorisation under Title V of MiFID 150 in an EEA State , other than the UK , to provide a data reporting service in the UK .
OPS collective investment scheme
As Published: 2001
OPS collective investment scheme
a collective investment scheme the contributions to which consist entirely of assets held for an occupational pension scheme . 4…
overseas company
As Published: 2005
overseas company
(in LR and PR ) a company incorporated outside the United Kingdom . 20…
prohibited action
As Published: 2016
prohibited action
151 an action which a ring-fenced body is prohibited from taking by an order made under section 142E of the Act .
UCITS remuneration principles
As Published: 2016
UCITS remuneration principles
69 the principles set out in SYSC 19E.2.5R to SYSC 19E.2.27R .
pension conversion
As Published: 2015
pension conversion
126 a transaction resulting from a decision of a retail client to require the trustees or managers of a pension scheme to: (a) convert safeguarded benefits into different benefits that are flexible be…
lower tier three capital resources
As Published: 2006
lower tier three capital resources
22 the sum calculated at stage P of the capital resources table (Lower tier three).
benchmark activities
As Published: 2018
benchmark activities
74 the following activities: (1) the regulated activity of administering a benchmark ; or (2) contributing input data to a BMR benchmark administrator . [Note: contributing input data to a BMR benchma…
CFEB
As Published: 2010
CFEB
the consumer financial education body originally 282 established by the FSA under section 6A(1) of the Act (Enhancing public understanding of financial matters etc) (as it had effect before the passin…
MiFID ITS 19
As Published: 2017
MiFID ITS 19
118 Commission Implementing Regulation (EU) 2016/824 of 25 May 2016 laying down implementing technical standards with regard to the content and format of the description of the functioning of MTFs and…
UK AIF
As Published: 2013
UK AIF
50 an AIF that is: (a) an authorised fund ; or (b) not an authorised fund but has its registered office or head office in the UK ;…