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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 .
large business customer
As Published: 2003
large business customer
7 (in relation to a regulated mortgage contract or qualifying credit , and in relation to an activity to be carried on by a firm ) a client , if the credit is for the purposes of a business which has…
offer document
As Published: 2003
offer document
9 (in MCOB ) a document in which the home finance provider 26 offers to enter into a home finance transaction 26 with a customer .
notice of discontinuance
As Published: 2001
notice of discontinuance
a notice given by the appropriate regulator 103 in accordance with section 389 of the Act (Notices of discontinuance) which states that the appropriate regulator 103 has decided not to take the action…
large ACS investor
As Published: 2013
large ACS investor
49 in relation to an ACS , a person who in exchange for units in the scheme : (a) makes a payment of not less than £1,000,000; or (b) contributes property with a value of not less than £1,000,000.
sub-group
As Published: 2002
sub-group
(in relation to a person ): 23 (a) that person ; and (b) any person that is either: (i) a subsidiary undertaking of that person ; or (ii) an undertaking in which that person or a subsidiary undertakin…
annual statement provisions
As Published: 2006
annual statement provisions
32 (in MCOB ) in relation to a: (a) regulated mortgage contract , MCOB 7.5 ; (b) home purchase plan , MCOB 7.8.3 R to MCOB 7.8.6 R ; and (c) instalment reversion plan , MCOB 9.9.1 R to MCOB 9.9.3R (2)…
incoming data reporting services provider
As Published: 2017
incoming data reporting services provider
150 a data reporting services provider authorised or applying for authorisation under Title V of MiFID 150 in an EEA State , other than the UK , to provide a data reporting service in the UK .
OPS collective investment scheme
As Published: 2001
OPS collective investment scheme
a collective investment scheme the contributions to which consist entirely of assets held for an occupational pension scheme . 4…
overseas company
As Published: 2005
overseas company
(in LR and PR ) a company incorporated outside the United Kingdom . 20…
prohibited action
As Published: 2016
prohibited action
151 an action which a ring-fenced body is prohibited from taking by an order made under section 142E of the Act .
UCITS remuneration principles
As Published: 2016
UCITS remuneration principles
69 the principles set out in SYSC 19E.2.5R to SYSC 19E.2.27R .
pension conversion
As Published: 2015
pension conversion
126 a transaction resulting from a decision of a retail client to require the trustees or managers of a pension scheme to: (a) convert safeguarded benefits into different benefits that are flexible be…