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tied agent passport notification
As Published: 2017
tied agent passport notification
79 a notification made in accordance with article 35(2) of MiFID and MiFID ITS 4 Annex VII.
acquirer
As Published: 2015
acquirer
126 a payment service provider contracting with a payee to enable them to accept payment transactions made by means of any card, telecommunication, digital or IT device or software, and which result i…
non-retail communication
As Published: 2007
non-retail communication
23 a financial promotion and: (a) is made only to recipient who the firm reasonably believes are professional clients or eligible counterparties ; or (b) may reasonably be regarded as directed only at…
approved person
As Published: 2001
approved person
4 a person in relation to whom the FCA or the PRA 184 has given its approval under section 59 of the Act (Approval for particular arrangements) for the performance of a controlled function .
specified life events
As Published: 2015
specified life events
133 (a) the death of the customer ; or (b) the customer leaves the mortgaged land to live elsewhere and has no reasonable prospect of returning (for example, by moving into residential care); or (c) t…
data reporting service
As Published: 2017
data reporting service
112 (in accordance with regulation 2(1) of the DRS Regulations ) the operation of an APA , an ARM or a CTP when carried out as a regular occupation or business activity.
CTF
As Published: 2004
CTF
24 (as defined in section 1(2) of the Child Trust Funds Act 2004) a child trust fund, that is, an account which: (1) is held by a child who is or has been an eligible child (as defined in section 2 of…
authorised UK representative
As Published: 2001
authorised UK representative
4 (in relation to a firm ) a person resident in the United Kingdom who is authorised to act generally, and to accept service of any document , on behalf of the firm .
EEA ELTIF
As Published: 2015
EEA ELTIF
106 an ELTIF authorised by a competent authority other than the FCA under the ELTIF regulation .
MAR 6.8 Liquid market for shares, share class, standard market size and relevant market [deleted]
As Published: 2012
MAR 6.8 Liquid market for shares, share class, standard market size and relevant market [deleted]
…
commodity PRR
As Published: 2006
commodity PRR
48 the part of the market risk capital requirement calculated in accordance with BIPRU 7.4 (Commodity PRR) or, in relation to a particular position , the portion of the overall commodity PRR attributa…
transaction values
As Published: 2018
transaction values
84 for each payment system listed in column 1 of the table in FEES 9 Annex 1R the total value of the transfers of funds of the type specified in column 2 of the table undertaken by each PSR fee payer…
linked fund
As Published: 2007
linked fund
29 a real or notional account to which an insurer appropriates linked assets for the purposes of their being permitted links , and which may be subdivided into units, the value of each of which is det…
candidate
As Published: 2001
candidate
3 a person in respect of whom an application is made for approval under section 59 of the Act (Approval for particular arrangements) of the performance of an FCA controlled function or a PRA controlle…
EU regulation
As Published: 2017
EU regulation
119 a regulation made pursuant to article 288 of the Treaty .
readily realisable investment
As Published: 2001
readily realisable investment
119 (1) 129 (a) a packaged product ; (b) a readily realisable security . [deleted] 129…
higher rate of return
As Published: 2007
higher rate of return
15 (in COBS ) the higher rate of return described in paragraph 2.3 of the projection rules ( COBS 13 Annex 2 ).
backtesting exception
As Published: 2006
backtesting exception
23 (in BIPRU 7.10 (Use of a value at risk model)) an exception (excluding a specific risk backtesting exception ) arising out of backtesting a VaR model as more fully defined in BIPRU 7.10.103 R .
relevant claims management complaint
As Published: 2019
relevant claims management complaint
190 a relevant existing claims management complaint or a relevant new claims management complaint .