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specialist securities
As Published: 2005
specialist securities
(in LR and FEES 38 ) securities which, because of their nature, are normally bought and traded by a limited number of investors who are particularly knowledgeable in investment matters. 34…
building society
As Published: 2001
building society
4 (as defined in section 119(1) of the Building Societies Act 1986) a building society incorporated (or deemed to be incorporated) under that Act.
exercise notice
As Published: 2005
exercise notice
(in LR ) (in relation to securitised derivatives ), a document that notifies the issuer of a holder's intention to exercise its rights under the securitised derivative . 26…
AIFMD level 2 regulation
As Published: 2013
AIFMD level 2 regulation
96 Commission delegated regulation (EU) No 231/2013 supplementing Directive 2011/16/EU of the European Parliament and of the Council with regard to exemptions, general operating conditions, depositari…
EIS particulars
As Published: 2001
EIS particulars
a document containing particulars of an Enterprise Investment Scheme . 4…
firm type
As Published: 2004
firm type
8 one of a list of firm types set out in SUP 16 Annex 17 used for the purposes of checking and correcting standing data under SUP 16.10.4 R .
friendly society
As Published: 2001
friendly society
2 an incorporated friendly society or a registered friendly society .
relevant credit-related complaint
As Published: 2014
relevant credit-related complaint
132 a relevant existing credit-related complaint or a relevant new credit-related complaint .
SUP 15 Annex 11D Form Notification of major operational or security incidents – PSD2
As Published: 2018
SUP 15 Annex 11D Form Notification of major operational or security incidents – PSD2
…
policyholder advocate
As Published: 2005
policyholder advocate
31 the person appointed under COBS 20.2.42 R 52 to negotiate with a firm on its proposals for making a reattribution of its inherited estate .
annual financial statements
As Published: 2009
annual financial statements
68 the financial statements in respect of the year ending on the firm's annual accounting reference date, which is the date to which a corporate firm's accounts are prepared for the purposes of the Co…
SMCR banking firm
As Published: 2018
SMCR banking firm
174 any of the following: (a) a UK SMCR banking firm ; (b) an EEA SMCR banking firm ; or (c) a third-country SMCR banking firm .
EMD complaint
As Published: 2018
EMD complaint
121 any oral or written expression of dissatisfaction, whether justified or not, from, or on behalf of, an electronic money holder about the provision of, or failure to provide, a financial service or…
public sector issuer
As Published: 2005
public sector issuer
27 states and their regional and local authorities, state monopolies , state finance organisations , public international bodies , statutory bodies and OECD state guaranteed issuers .
property-linked benefits
As Published: 2004
property-linked benefits
25 benefits other than index-linked benefits provided for under a linked long-term contract of insurance .
CCAR 2010
As Published: 2014
CCAR 2010
157 Consumer Credit (Advertisements) Regulations 2010, SI 2010/1970.
core business lines
As Published: 2015
core business lines
171 business lines and associated services which represent material sources of revenue, profit or franchise value for an RRD institution or an RRD group . [Note: article 2(1)(36) of RRD ]…
rebalancing of the portfolio
As Published: 2011
rebalancing of the portfolio
99 (in COLL and in accordance with article 2(1) of the UCITS implementing Directive No 2) means a significant modification of the composition of the scheme property of a UCITS scheme or the portfolio…