Search Result
MCD mortgage credit intermediary
As Published: 2015
MCD mortgage credit intermediary
99 in relation to an MCD regulated mortgage contract : (a) an MCD mortgage arranger ; or (b) an MCD mortgage adviser . [Note: article 4(5) and (21) of the MCD ]…
third-country group
As Published: 2004
third-country group
13 a third-country financial conglomerate or a third-country banking and investment group .
decision notice
As Published: 2001
decision notice
a notice issued by the appropriate regulator 158 in accordance with section 388 of the Act (Decision notices). 3…
payment account
As Published: 2018
payment account
159 (in accordance with regulation 2(1) of the Payment Services Regulations ) an account held in the name of one or more payment service users which is used for the execution of payment transactions .
initial commitment
As Published: 2006
initial commitment
52 (for the purposes of BIPRU and in relation to underwriting ) the date specified in BIPRU 7.8.13 R (Time of initial commitment).
Payment Accounts Regulations
As Published: 2016
Payment Accounts Regulations
147 Accounts Regulations 2015 (SI 2015/2038).
regulated market transaction
As Published: 2007
regulated market transaction
52 a transaction concluded by a firm on a regulated market with another member or participant of that regulated market .
mixed insurer
As Published: 2006
mixed insurer
35 an insurer (other than a pure reinsurer ) which carries on reinsurance business and where one or more of the following conditions is met in respect of its reinsurance acceptances: (a) the premiums…
firm details
As Published: 2018
firm details
117 the information relating to a firm held by the appropriate regulator on the matters set out in SUP 16 Annex 16A .
ring-fencing implementation fee(s)
As Published: 2016
ring-fencing implementation fee(s)
165 the fee or fees in FEES 4 Annex 2BR(2) .
DISP Sch 3 Fees and other required payment
As Published: 2002
DISP Sch 3 Fees and other required payment
…
advice, investigation or representation in relation to a claim for a specified benefit
As Published: 2019
advice, investigation or representation in relation to a claim for a specified benefit
151 the regulated activity , specified in article 89K of the Regulated Activities Order , of each of advising a claimant or potential claimant , investigating a claim and representing a claimant , in…
family member of a politically exposed person
As Published: 2018
family member of a politically exposed person
116 as defined in regulation 35(12) of the Money Laundering Regulations .
administering a specified benchmark
As Published: 2013
administering a specified benchmark
98 The regulated activity , specified in article 63O(1)(b) of the Regulated Activities Order , which means: (1) administering the arrangements for determining a specified benchmark , or (2) collecting…
SFA Complaints Bureau
As Published: 2001
SFA Complaints Bureau
the first stage of the SFA scheme , which aimed to resolve complaints by conciliation. 1…
restricted advice
As Published: 2010
restricted advice
85 (a) a personal recommendation to a client 172 which is not independent advice ; or (b) basic advice .
EMPS Ann 1 These provisions have been moved to the Supervision Manual (SUP 21).
As Published: 2001
EMPS Ann 1 These provisions have been moved to the Supervision Manual (SUP 21).
…
conditional sale agreement
As Published: 2013
conditional sale agreement
149 in accordance with article 60L of the Regulated Activities Order , an agreement for the sale of goods or land under which the purchase price or part of it is payable by instalments, and the proper…
commercial customer
As Published: 2004
commercial customer
17 (in ICOBS ) 180 a customer who is not a consumer 67 .
primary information provider
As Published: 2013
primary information provider
105 a person approved by the FCA under section 89P of the Act .