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lifetime ISA
As Published: 2017
lifetime ISA
72 an individual savings account as prescribed in regulation 4(1ZB) of the ISA Regulations .
plan investor
As Published: 2001
plan investor
5 a person entered in the plan register under COLL 6.4.9 R (Plan registers). 17…
auction regulation
As Published: 2011
auction regulation
85 Commission Regulation (EU) No 1031/2010 of 12 November 2010 on the timing, administration and other aspects of auctioning of greenhouse gas emission allowances pursuant to Directive 2003/87/EC of t…
MiFID RTS 7
As Published: 2017
MiFID RTS 7
118 Commission Delegated Regulation (EU) No 2017/584 of 14 July 2016 supplementing MiFID with regard to regulatory technical standards specifying organisational requirements of regulated markets, mult…
claims management client money distribution rules
As Published: 2019
claims management client money distribution rules
228 the rules and guidance in CASS 13.11 .
closely related
As Published: 2006
closely related
48 (in GENPRU and BIPRU ) describes a relationship between two or more persons under which one or more of the following applies: (a) the insolvency or default of one of them is likely to be associated…
retirement annuity
As Published: 2001
retirement annuity
an individual pension policy effected before 1 July 1988 53 by a self-employed person or a person in non-pensionable employment which was 53 approved under Chapter III, Part XIV of the Income and Corp…
international organisation
As Published: 2006
international organisation
52 (for the purposes of GENPRU and BIPRU ) an organisation referred to in BIPRU 3.4.30 R (Exposures to international organisations).
Part 30 exemption order
As Published: 2001
Part 30 exemption order
the order under regulation 30.10 of the General Regulations under the US Commodity Exchange Act issued by the Commodity Futures Trading Commission on 10 October 2003 (consolidating and updating relief…
total amount payable
As Published: 2003
total amount payable
58 (1) (except in CONC or MCOB ) the total charge for credit plus the total amount of credit advanced. 58 (2) (in CONC ) the sum of the total charge for credit and the total amount of credit payable u…
Insurance Ombudsman scheme
As Published: 2001
Insurance Ombudsman scheme
the former scheme set up, on a voluntary basis, to handle complaints against those insurance companies which subscribed to it. 1…
management expenses levy
As Published: 2001
management expenses levy
a levy imposed by the FSCS on participant firms to meet the management expenses and which is made up of one or more of a base cost levy and 53 a specific costs levy , each participant firm's share bei…
entering into a regulated consumer hire agreement as owner
As Published: 2013
entering into a regulated consumer hire agreement as owner
87 the regulated activity specified in article 60N(1) of the Regulated Activities Order .
MAR 6.11 Execution price of professional client orders [deleted]
As Published: 2017
MAR 6.11 Execution price of professional client orders [deleted]
…
director of unincorporated association function
As Published: 2001
director of unincorporated association function
108 FCA controlled function CF5 in 122 the table of FCA controlled functions , described more fully in SUP 10A.6.29 R .
supplementary prospectus
As Published: 2005
supplementary prospectus
(in Part 6 rules ) a supplementary prospectus containing details of a new factor, mistake or inaccuracy. 34…
debt collector
As Published: 2014
debt collector
87 a person who has, or ought to have, a Part 4A permission to carry on the regulated activity of debt adjusting and who takes steps to procure payment of debts due under credit agreements or consumer…
RRD group
As Published: 2015
RRD group
138 a group that: (a) includes an RRD institution ; and (b) is headed by an EEA parent undertaking .