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table of FCA-designated senior management functions
As Published: 2018
table of FCA-designated senior management functions
82 the table of FCA-designated senior management functions in SUP 10C.4.3R .
Solvency 1 Directive
As Published: 2004
Solvency 1 Directive
28 the Directive of the European Parliament and of the Council of 5 March 2002 amending Council Directive 79/267/EEC as regards the solvency margin requirements for life assurance undertakings (No. 20…
EEA MCR
As Published: 2004
EEA MCR
24 the MCR in relation to business carried on in all EEA States , taken together, calculated by a UK-deposit insurer in accordance with INSPRU 1.5.46R 34 .
total group tier one capital
As Published: 2004
total group tier one capital
14 the sum calculated at stage A of the calculation in INSPRU 6.1.43R 26 .
category
As Published: 2018
category
222 a category of participant firms within a class : see FEES 6 Annex 3AR .
customer order
As Published: 2001
customer order
(a) an order to a firm from a customer to execute a transaction as agent; (b) any other order to a firm from a customer to execute a transaction in circumstances giving rise to duties similar to those…
inter-professional business
As Published: 2001
inter-professional business
(for the purposes only of COBS TP 1 (Transitional Provisions in relation to Client Categorisation)) business which comes within the meaning of 'inter-professional business' as defined in COB on 31 Oct…
intermediaries offer
As Published: 2001
intermediaries offer
(1) (in LR ) a marketing of securities already or not yet in issue, by means of an offer by, or on behalf of, the issuer to intermediaries for them to allocate to their own clients. 36 (2) [deleted] 1…
coordinator
As Published: 2004
coordinator
22 (in relation to a financial conglomerate ) the competent authority which has been appointed, in accordance with Article 10 of the Financial Groups Directive (Competent authority responsible for exe…
large mutual association
As Published: 2001
large mutual association
69 (1) (in COMP ) an unincorporated mutual association or unincorporated association (which is not a mutual association) with net assets of more than £1.4 million (or its equivalent in any other curre…
home territory
As Published: 2001
home territory
1 (in relation to an overseas investment exchange ) the country or territory in which its head office is situated.
store card
As Published: 2001
store card
a card restricted to paying for goods or services from a particular supplier or group of suppliers and where the price of the goods or services is paid directly to the supplier or group of suppliers b…
regulatory provisions
As Published: 2001
regulatory provisions
227 any rules, guidance, arrangements or policy issued by the investment exchange in connection with its business as an investment exchange or in connection with the provision by it of clearing facili…
registration document
As Published: 2005
registration document
(in Part 6 rules and COBS 11A 178 ) a registration document referred to in article 6(3) of the Prospectus Regulation 198 .
EEA territorial scope rule
As Published: 2007
EEA territorial scope rule
39 COBS 1 Annex 1 , Part 2 40 paragraph 1(1) (which provides that the territorial scope of COBS is modified to the extent necessary to be compatible with European law).
IFPRU limited-activity firm
As Published: 2013
IFPRU limited-activity firm
148 124 a limited activity firm that meets the following conditions: (a) it is a firm ; and (b) its head office is in the UK and it is not otherwise excluded under IFPRU 1.1.5 R .
enhanced reporting investment
As Published: 2017
enhanced reporting investment
122 any investment subject to a restriction on retail distribution under the FCA’s rules , as summarised in COBS 9.3.5G(1) .