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property authorised investment fund
As Published: 2008
property authorised investment fund
an open-ended investment company to which Part 4A of the Authorised Investment Funds (Tax) Regulations 2006 (SI 2006/964) applies. 65…
circular
As Published: 2005
circular
(in LR ) any document issued to holders of listed securities including notices of meetings but excluding prospectuses , listing particulars , annual reports and accounts, interim reports, proxy cards…
EEA SMCR firm
As Published: 2018
EEA SMCR firm
130 (a) an EEA SMCR banking firm ; or (b) any other SMCR firm that is an incoming EEA firm or incoming Treaty firm .
class meeting
As Published: 2001
class meeting
(in COLL ) a separate meeting of holders of a class of units . 3 20…
Independent Investigator
As Published: 2001
Independent Investigator
the former Ombudsman under the FSA scheme . 1…
dealing day
As Published: 2001
dealing day
(in COLL ) the period in a business day (in accordance with provisions of the prospectus ) during which the ACD or the operator is open for business. 3…
legal expenses
As Published: 2001
legal expenses
(in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph 17 of Part I of Schedule 1 to the Regulated Activities Order (Contracts of general insura…
CBTL firm
As Published: 2015
CBTL firm
291 (1) (other than in DISP ) a person included by the FCA in the Financial Services Register pursuant to article 8(1) of the MCD Order . (2) (in DISP and FEES 5.5B ) a person 213 within (1) who is no…
standard methods of internal client money reconciliation
As Published: 2014
standard methods of internal client money reconciliation
(a) [deleted] (b) the methods of internal client money reconciliation described in CASS 7.16 . 124…
intra-group transactions
As Published: 2004
intra-group transactions
27 (in accordance with Article 2(18) of the Financial Groups Directive (Definitions)) all transactions by which regulated entities within a financial conglomerate rely either directly or indirectly up…
UK parent mixed financial holding company in a Member State
As Published: 2013
UK parent mixed financial holding company in a Member State
53 a parent mixed financial holding company in a Member State where the EEA State in question is the UK .
innovative tier one instrument
As Published: 2004
innovative tier one instrument
32 a potential tier one instrument that is stated in GENPRU 2.2 (Capital resources) 52 to be an innovative instrument.
SRB agreement provider
As Published: 2009
SRB agreement provider
78 (in accordance with article 63J(3)(a) of the Regulated Activities Order ) a firm which buys all or part of the qualifying interest in land in the United Kingdom from a SRB agreement seller under a…
member society
As Published: 2001
member society
2 (as defined in article 2(2) of the compensation transitionals order ) a person who at any time before commencement was a member society within the rules of the Friendly Societies Protection Scheme e…