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general client bank account
As Published: 2001
general client bank account
a client bank account that holds client money of one or more clients , which includes in its title the word "client" (or, if the systems constraints of the approved bank or the firm that holds the acc…
supervisory authority
As Published: 2013
supervisory authority
118 (1) (in accordance with article 4(1)(al) of AIFMD ) (for a non-EEA AIF ) the national authority or authorities of the non-EEA State empowered by law or regulation to supervise AIFs in that non-EEA…
sale
As Published: 2001
sale
(in COLL ) (in relation to units in an authorised fund ) the sale of units by the authorised fund manager as principal . 5…
PRIIPs Regulation
As Published: 2017
PRIIPs Regulation
154 Regulation (EU) No 1286/2014 of the European Parliament and of the Council of 26 November 2014 on key information documents for packaged retail and insurance-based investment products (PRIIPs). ht…
accepting deposits
As Published: 2001
accepting deposits
4 the regulated activity , specified in article 5 of the Regulated Activities Order (Accepting deposits), which is in summary: accepting deposits if: (a) money received by way of deposit is lent to ot…
market value
As Published: 2001
market value
3 the market value as determined in accordance with 22 generally accepted accounting practice.
MLAR
As Published: 2004
MLAR
15 (in SUP ) a Mortgage Lending and Administration Return containing data specified in SUP 16 Annex 19A and relevant to the firm's type and regulated activities .
pensions guidance levy
As Published: 2015
pensions guidance levy
121 the amount payable to the FCA by the firms to which FEES 10 (Pensions guidance levy) applies.
insolvency order
As Published: 2001
insolvency order
5 an administration order, compulsory winding up order, bankruptcy order, or sequestration order. 42…
Great Britain
As Published: 2019
Great Britain
65 England and Wales and Scotland (but not Northern Ireland, the Channel Islands or the Isle of Man).
pawnor
As Published: 2014
pawnor
116 includes any person to whom the rights and duties of the original pawnor have passed by assignment or operation of law.
executive director function
As Published: 2018
executive director function
130 FCA controlled function SMF3 in the table of FCA-designated senior management functions , described more fully in SUP 10C.5.1R to 10C.5.12R .
credit unions day
As Published: 2005
credit unions day
37 (in relation to a Great Britain credit union ) 1 July 2002 or (in relation to a Northern Ireland credit union ) 31 March 2012. 127…
APER App 1.1 This appendix has been removed until further notice
As Published: 2011
APER App 1.1 This appendix has been removed until further notice
…
Promotion of Collective Investment Schemes Order
As Published: 2014
Promotion of Collective Investment Schemes Order
223 the Financial Services and Markets Act 2000 (Promotion of Collective Investment Schemes) (Exemptions) Order 2001.
limited liability partnership
As Published: 2001
limited liability partnership
(a) a body corporate incorporated under the Limited Liability Partnerships Act 2000; (b) a body corporate incorporated under legislation having the equivalent effect to the Limited Liability Partnersh…
listing particulars
As Published: 2005
listing particulars
(in LR and PRR 80 ) (in accordance with section 79(2) of the Act ), a document in such form and containing such information as may be specified in listing rules . 14…