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equity release provider
As Published: 2006
equity release provider
31 a firm with permission (or which ought to have permission ) for: (a) entering into a regulated mortgage contract (when carried on in relation to a lifetime mortgage ); or (b) entering into a home r…
MAR 2.4 Stabilisation when the Buy-back and Stabilisation Regulation does not apply [deleted]
As Published: 2001
MAR 2.4 Stabilisation when the Buy-back and Stabilisation Regulation does not apply [deleted]
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permitted immovable
As Published: 2001
permitted immovable
any interest in land or buildings 48 which falls within COLL 5.6.18 R (2) and COLL 5.6.18 R (6) (Investment in property) and which, being a leasehold interest or its equivalent, has an unexpired term…
non-personal recommendation advice
As Published: 2017
non-personal recommendation advice
107 74 (1) advice given to a person which is the regulated activity specified in article 53(1) of the Regulated Activities Order and which is not a personal recommendation . (2) for the purposes of (1…
position risk requirement
As Published: 2006
position risk requirement
43 a capital requirement applied to a position treated under BIPRU 7 (Market risk) as part of the calculation of the market risk capital requirement or, if the relevant provision of the Handbook disti…
CONRED 2 Annex 7 Letter to consumers confirming their case will be reviewed
As Published: 2013
CONRED 2 Annex 7 Letter to consumers confirming their case will be reviewed
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FCA-approved person
As Published: 2013
FCA-approved person
151 an approved person in relation to whom the FCA has given its approval under section 59 of the Act (Approval for particular arrangements) for the performance of an FCA controlled function .
final notice
As Published: 2001
final notice
a notice given by the appropriate regulator 153 under section 390 of the Act (Final notices). 2…
internal client money reconciliation
As Published: 2014
internal client money reconciliation
132 (1) (in CASS 7 ) the client money reconciliation described in CASS 7.15.12R . 164 (2) (in CASS 13 ) the client money reconciliation described in CASS 13.10.5R to 13.10.14R . 164…
regulated sale and rent back firm
As Published: 2009
regulated sale and rent back firm
76 a firm that carries on any regulated sale and rent back activity .
relevant overseas USRs
As Published: 2015
relevant overseas USRs
145 the following overseas uncertificated securities regulations: (a) the Jersey Companies (Uncertificated Securities) (Jersey) Order 1999; (b) the Guernsey Uncertified Securities (Guernsey) Regulatio…
securities note
As Published: 2005
securities note
(in Part 6 rules ) a securities note referred to in article 6(3) of the Prospectus Regulation 116 . 34…
interest rate benchmark
As Published: 2018
interest rate benchmark
161 has the meaning in article 3.1(22) of the benchmarks regulation .
insurance undertaking
As Published: 2001
insurance undertaking
an undertaking including a member that carries on insurance business , whether or not an insurer . 134…
GENPRU Sch 3 Fees and other requirement payments
As Published: 2006
GENPRU Sch 3 Fees and other requirement payments
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minor stock market index
As Published: 2019
minor stock market index
135 a stock market index which is not a major stock market index .
index-linked security
As Published: 2010
index-linked security
90 (in COLL ) a debt security for which the cash flows are determined by reference to an index of consumer prices.
UK AIFM
As Published: 2013
UK AIFM
48 an AIFM established in the UK and with a Part 4A permission to carry on the regulated activity of managing an AIF .