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significant management function
As Published: 2001
significant management function
152 FCA controlled function 174 CF29 in 174 the table of FCA controlled functions , described more fully in SUP 10A.9.9 R . 223…
SUP 16 Annex 35A Close Links Monthly Report
As Published: 2013
SUP 16 Annex 35A Close Links Monthly Report
…
CONRED 2 Annex 8 Initial letter requesting information/enclosing questionnaire
As Published: 2013
CONRED 2 Annex 8 Initial letter requesting information/enclosing questionnaire
…
MiFID RTS 10
As Published: 2017
MiFID RTS 10
118 Commission Delegated Regulation (EU) 2017/573 of 6 June 2016 supplementing MiFID with regard to regulatory technical standards on requirements to ensure fair and non-discriminatory co-location and…
stocks and shares component
As Published: 2001
stocks and shares component
a qualifying investment as prescribed in paragraph 7 of the ISA Regulations . 5…
FCA candidate
As Published: 2013
FCA candidate
149 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 .
article 3(1)(b) credit agreement
As Published: 2015
article 3(1)(b) credit agreement
118 a credit agreement : (a) under which the person to whom the credit is provided is a consumer , (b) the purpose of which is to acquire or retain property rights in land or in an existing or project…
regulated sale and rent back mediation activity
As Published: 2009
regulated sale and rent back mediation activity
76 any of the following regulated activities : (a) arranging (bringing about) regulated sale and rent back agreements (article 25E(1)); (b) making arrangements with a view to regulated sale and rent b…
CCR internal model method permission
As Published: 2006
CCR internal model method permission
156 an Article 129 implementing measure , Article 129 permission , a requirement or a waiver that requires a BIPRU firm or a CAD investment firm to use the CCR internal model method…
BNPL payment condition
As Published: 2019
BNPL payment condition
a provision in a BNPL agreement that has the effect described in (1)(a) or (2) of the definition of BNPL credit .
home finance providing activity
As Published: 2006
home finance providing activity
8 any of the regulated activities of: (a) entering into a regulated mortgage contract ; (aa) entering into a regulated sale and rent back agreement ; 19 (b) entering into a home purchase plan ; (c) en…
SRB intermediary
As Published: 2010
SRB intermediary
89 a firm with permission (or which ought to have permission ) to carry on a regulated sale and rent back mediation activity .
investment advice
As Published: 2017
investment advice
150 the provision of personal recommendations to a client , either upon the client’s request or at the initiative of the firm , in respect of one or more transactions relating to designated investment…
over the counter
As Published: 2001
over the counter
(in relation to a transaction in an investment ) not on-exchange . 4…
PR Regulation
As Published: 2019
PR Regulation
185 Regulation number 2019/980 of the European Commission.
EMIR
As Published: 2012
EMIR
79 Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories, sometimes referred to as the "European Markets Infrastructure Regulation".
flat-fee charge
As Published: 2015
flat-fee charge
88 a charge used by an operator of a qualifying scheme which is a specified charge for a period of time and which is not calculated by reference to member's contributions or accrued rights.
MiFID Regulation
As Published: 2006
MiFID Regulation
39 Commission Regulation (EC) 1287/2006 implementing Directive 2004/39/EC of the European Parliament and of the Council as regards organisational requirements and operating conditions for investment f…
benchmark contributor
As Published: 2018
benchmark contributor
74 (1) a third country benchmark contributor ; or (2) a UK benchmark contributor . [Note: neither acting as a benchmark contributor nor contributing input data to a BMR benchmark administrator is a re…