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retail customer
As Published: 2003
retail customer
14 17 22 (in accordance with the meaning of 'consumer' in article 2(d) of the Distance Marketing Directive an individual who is acting for purposes which are outside his trade, business or profession.
additional tier 1 capital
As Published: 2013
additional tier 1 capital
105 as defined in article 61 of the EU CRR .
MiFID optional exemption firm
As Published: 2017
MiFID optional exemption firm
118 a firm that is an exempt investment firm for the purpose of regulation 8 of the MiFI Regulations .
Money Market Funds Regulation
As Published: 2018
Money Market Funds Regulation
128 Regulation (EU) No 2017/1131 of the European Parliament and the Council of 14 June 2017 on money market funds.
GAP contract
As Published: 2015
GAP contract
57 a guaranteed asset protection contract; this is a contract of insurance covering a policyholder , in the event of total loss to a vehicle , against the difference between: (a) the amount claimed un…
market counterparty
As Published: 2001
market counterparty
(for the purposes only of COBS TP 1 (Transitional Provisions in relation to Client Categorisation)) 90 any person classified as a 'market counterparty' under COB on 31 October 2007, in accordance with…
currency transfer service
As Published: 2019
currency transfer service
231 a payment service or the issuance of electronic money that involves a currency conversion. For the purpose of this definition ‘currency conversion’ has the same meaning as it has in the Payment Se…
market interface specification
As Published: 2017
market interface specification
118 a document setting out the technical details required to format and submit market data to the FCA using the market data processor system .
online notification and application system
As Published: 2017
online notification and application system
84 the FCA’s and the PRA’s online notification and applications system, by whatever name known. [Note: before 1 October 2014 this was known as ONA, and from 1 October 2014 it has been known as the CON…
EIS manager
As Published: 2001
EIS manager
(a) (in relation to an EIS managed portfolio ) the investment manager; (b) (in relation to an EIS fund ) the manager of the fund. 4…
arrears
As Published: 2003
arrears
9 (in relation to a regulated mortgage contract or a home purchase plan 32 ) either: (a) a shortfall (equivalent to two or more regular payments) in the accumulated total payments actually made by the…
appropriate position risk adjustment
As Published: 2013
appropriate position risk adjustment
184 (1) (in relation to a position treated under BIPRU 7.6 (Option PRR)) the percentage figure applicable to that position under the table in BIPRU 7.6.8 R (Appropriate Position Risk Adjustment); (2)…
relevant credit agreement
As Published: 2014
relevant credit agreement
132 a credit agreement (within the meaning given by article 60B of the Regulated Activities Order ) other than a regulated mortgage contract or a regulated home purchase plan (within the meaning of th…
Financial Promotion Order
As Published: 2001
Financial Promotion Order
the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (SI 2005/1529) 17 .
sponsor declaration
As Published: 2014
sponsor declaration
128 a declaration submitted by a sponsor to the FCA as required under LR 8.4.3 R (Application for listing), LR 8.4.9 R (Further application for listing), LR 8.4.13 R (Production of circular) or LR 8.4…
Claims Management Order
As Published: 2019
Claims Management Order
228 the Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018.
individual capital assessment
As Published: 2006
individual capital assessment
53 (in 140 COBS 20.2 62 ) an assessment by a firm of the adequacy of its capital resources undertaken as part of an assessment of the adequacy of the firm's overall financial resources 140 .
Exemption Order
As Published: 2001
Exemption Order
the Financial Services and Markets Act 2000 (Exemption) Order 2001 (SI 2001/1201). 4…