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ADR entity
As Published: 2015
ADR entity
120 187 any entity, however named or referred to, which is listed in accordance with article 20(2) of the ADR Directive . [Note: article 4(1) of the ADR Directive ]…
resilience capital requirement
As Published: 2004
resilience capital requirement
29 the capital component for long-term insurance business calculated in accordance with the rules in INSPRU 3.1.9G to INSPRU 3.1.26R 46 .
sovereign controlled commercial company
As Published: 2018
sovereign controlled commercial company
170 an issuer in which a State exercises or controls 30% or more of the votes able to be cast on all or substantially all matters at general meetings of that company .
SUP App 2.9 Under control of a new parent undertaking
As Published: 2001
SUP App 2.9 Under control of a new parent undertaking
…
own-initiative variation power
As Published: 2013
own-initiative variation power
116 The FCA's or the PRA's power under section 55J (Variation or cancellation on initiative of regulator) to vary or cancel a Part 4A permission otherwise than on the application of a firm .
business illustration
As Published: 2003
business illustration
9 an illustration for a regulated mortgage contract that is for a business purpose.
advice, investigation or representation in relation to a personal injury claim
As Published: 2019
advice, investigation or representation in relation to a personal injury claim
151 the regulated activity , specified in article 89H of the Regulated Activities Order , of each of advising a claimant or potential claimant , investigating a claim and representing a claimant , in…
standard terms
As Published: 2001
standard terms
(in DISP ) the contractual terms made under paragraph 18 of Schedule 17 to the Act (The Ombudsman Scheme), under which VJ participants participate in the Voluntary Jurisdiction . 5 22…
accountable higher management function
As Published: 2015
accountable higher management function
123 (in APER ) any accountable function that is an FCA controlled function that is a significant-influence function . 150…
exercising, or having the right to exercise, the owner's rights and duties under a regulated consumer hire agreement
As Published: 2013
exercising, or having the right to exercise, the owner's rights and duties under a regulated consumer hire agreement
87 the regulated activity specified in article 60N(2) of the Regulated Activities Order .
matched principal exemption conditions
As Published: 2006
matched principal exemption conditions
40 91 (1) (for the purposes of BIPRU ) the conditions set out in BIPRU 1.1.23 R(2) (Meaning of dealing on own account). 91 (2) (other than in BIPRU ) the conditions set out in IFPRU 1.1.12R (Meaning o…
home finance provider
As Published: 2006
home finance provider
8 a firm with permission (or which ought to have permission ) for entering into a home finance transaction .
non-UK DLG by modification
As Published: 2009
non-UK DLG by modification
35 either of the following: (a) a non-UK DLG by modification (firm level) ; or (b) a non-UK DLG by modification (DLG level) .
relevant electronic lending services
As Published: 2016
relevant electronic lending services
159 operating an electronic system in relation to lending or operating an electronic system in relation to non-P2P agreements .
debt management activity
As Published: 2014
debt management activity
87 the activities of debt counselling or debt adjusting , alone or together, carried on with a view to an individual entering into a particular debt solution or in relation to any such debt solution ,…
tied agent passport notification
As Published: 2017
tied agent passport notification
79 a notification made in accordance with article 35(2) of MiFID and MiFID ITS 4 Annex VII.
acquirer
As Published: 2015
acquirer
126 a payment service provider contracting with a payee to enable them to accept payment transactions made by means of any card, telecommunication, digital or IT device or software, and which result i…
non-retail communication
As Published: 2007
non-retail communication
23 a financial promotion and: (a) is made only to recipient who the firm reasonably believes are professional clients or eligible counterparties ; or (b) may reasonably be regarded as directed only at…