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top-up permission
As Published: 2001
top-up permission
a Part 4A permission 119 given to an incoming EEA firm , an incoming Treaty firm or a UCITS qualifier . 3…
distribution channels
As Published: 2007
distribution channels
39 a channel through which information is, or is likely to become, publicly available. Information which is "likely to become publicly available" means information to which a large number of persons h…
benchmark endorser
As Published: 2018
benchmark endorser
74 a person : (1) whose endorsement of a benchmark or family of benchmarks has been authorised by the FCA in accordance with article 33(3) of the benchmarks regulation ; and (2) who has not had that a…
MiFID/MiFIR Systems Regulations
As Published: 2017
MiFID/MiFIR Systems Regulations
118 MiFID RTS 7 to MiFID RTS 12 inclusive, MiFID RTS 25 and MiFID RTS 26 .
credit transfer
As Published: 2018
credit transfer
215 (in accordance with regulation 2(1) of the Payment Services Regulations ) a payment service for crediting a payee’s payment account with a payment transaction or a series of payment transactions f…
proven reserves
As Published: 2005
proven reserves
(in LR ): (a) in respect of mineral companies primarily involved in the extraction of oil and gas resources, those reserves which, on the available evidence and taking into account technical and econo…
eligible claimant
As Published: 2001
eligible claimant
a person who is eligible to bring a claim for compensation under COMP 4.2.1 R . 4…
annual income
As Published: 2006
annual income
127 (1) (in MIPRU) the income referred to in MIPRU 4.3 . (2) (in IPRU(INV) 13) the income referred to in (Calculation of annual income). 127…
payment service or electronic money promotion
As Published: 2019
payment service or electronic money promotion
180 an invitation or inducement to: (a) enter into an agreement for the provision of a payment service ; (b) initiate a payment order ; or (c) acquire electronic money , that is communicated in the co…
chief risk officer function
chief risk officer function
236 FCA controlled function SMF4 in the table of FCA-designated senior management functions , described more fully in SUP 10C.6A.4R .
EEA core SMCR firm
EEA core SMCR firm
142 a core SMCR firm that is an incoming EEA firm or incoming Treaty firm .
document evidencing title
As Published: 2001
document evidencing title
any means of evidencing title whether in documentary form or otherwise. 3…
entering into a regulated credit agreement as lender
As Published: 2013
entering into a regulated credit agreement as lender
87 the regulated activity specified in article 60B(1) of the Regulated Activities Order .
MAR 6.10 Execution price of retail client orders [deleted]
As Published: 2009
MAR 6.10 Execution price of retail client orders [deleted]
…
supplementary listing particulars
As Published: 2005
supplementary listing particulars
(in LR ) (in accordance with section 81(1) of the Act ), supplementary listing particulars containing details of the change or new matter. 34…
Financial Action Task Force
As Published: 2001
Financial Action Task Force
the inter-governmental body responsible for developing and promoting policies, both nationally and internationally, to combat money laundering. 2…
debt adjuster
As Published: 2014
debt adjuster
87 a person who has, or ought to have, a Part 4A permission to carry on the regulated activity of debt adjusting and who negotiates with a lender on behalf of a customer the terms of discharge of a de…
second charge lender
As Published: 2015
second charge lender
133 a mortgage lender who grants, or promises to grant, a second charge regulated mortgage contract .