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common platform requirements on financial crime
As Published: 2006
common platform requirements on financial crime
the requirements on financial crime applicable to common platform firms set out in 56 47 SYSC 6.3 .
domestic UCITS merger
As Published: 2011
domestic UCITS merger
71 (in COLL and in accordance with article 2(1)(r) of the UCITS Directive ) a UCITS merger between two or more UCITS schemes in relation to which a UCITS marketing notification has been made in respec…
MCD article 3(1)(b) credit intermediation activity
As Published: 2015
MCD article 3(1)(b) credit intermediation activity
99 the activity of acting as an MCD article 3(1)(b) credit intermediary . [Note: article 4(5) and (21) of the MCD ]…
margined contract
As Published: 2001
margined contract
3 16 (in COLL , 44 CASS 4 and CASS 7 44 ) any contract in derivatives .
EEA authorised electronic money institution
As Published: 2011
EEA authorised electronic money institution
71 171 (in accordance with regulation 2(1) of the Electronic Money Regulations ) a person authorised in an EEA State other than the United Kingdom to issue electronic money and provide payment service…
SMF manager
As Published: 2015
SMF manager
136 (in relation to an SMCR firm 174 ) a person who has approval under section 59 of the Act (Approval for particular arrangements) to perform a designated senior management function in relation to th…
chargeable case (general)
As Published: 2013
chargeable case (general)
289 a chargeable case that is not a chargeable case (PPI) .
ex-section 43 lead regulated firm
As Published: 2001
ex-section 43 lead regulated firm
an ex-section 43 firm for which the FSA (in its capacity as the regulatory body under section 43 of the Financial Services Act 1986) was lead regulator for financial supervision purposes, and that was…
CASS debt management firm
As Published: 2014
CASS debt management firm
157 a firm which: (a) carries on the activities of debt counselling or debt adjusting , alone or together, with a view to an individual entering into a particular debt solution ; or (b) carries on the…
IFR
As Published: 2016
IFR
141 Regulation (EU) 2015/751 of the European Parliament and of the Council of 29 April 2015 on interchange fees for card-based payment transactions.
non-trading book
As Published: 2006
non-trading book
19 positions, exposures, assets and liabilities that are not in the trading book .
tax exempt policy
As Published: 2001
tax exempt policy
any contract of assurance, offered or issued by a friendly society , which is tax exempt life or endowment business as defined in section 466 (2) of the Income and Corporation Taxes Act 1988. 3…
repo
As Published: 2001
repo
(a) an agreement between a seller and buyer for the sale of securities , under which the seller agrees to repurchase the securities , or equivalent securities , at an agreed date and, usually, at a st…
offer
As Published: 2001
offer
(1) (in MAR 1 (Market Abuse 82 )) an offer as defined in the Takeover Code . (2) [deleted] 83 18 4 18 (3) (in LR 32 and 32 PR 32 ) an offer of transferable securities to the public . 20…
current market value
As Published: 2006
current market value
48 (in accordance with Part 1 of Annex III of the Banking Consolidation Directive (Definitions) and for the purpose of BIPRU 13.5 (CCR standardised method)) the net market value of the portfolio of tr…
United Kingdom
As Published: 2001
United Kingdom
England and Wales, Scotland and Northern Ireland (but not the Channel Islands or the Isle of Man). 2…
home finance adviser
As Published: 2006
home finance adviser
8 a firm with permission (or which ought to have permission ) for advising on a home finance transaction .