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CTF Regulations
As Published: 2004
CTF Regulations
24 the Child Trust Funds Regulations 2004 (SI 2004/1450).
recognised auction platform
As Published: 2011
recognised auction platform
105 a recognised investment exchange which is declared by a recognition order for the time being in force to be a recognised auction platform .
cashback
As Published: 2003
cashback
14 (in MCOB ) a cash amount paid by a mortgage lender to a customer (typically at the beginning of a contract) as an inducement to enter into a regulated mortgage contract with the mortgage lender .
benchmark administrator
As Published: 2013
benchmark administrator
a 68 person who has authorisation to carry on 68 the regulated activity of administering a specified benchmark .
basis risk
As Published: 2004
basis risk
16 the risk that the relationship between two financial variables will change, particularly between two sorts of interest rate or between a hedge and the position it ostensibly hedges.
unregulated activity
As Published: 2001
unregulated activity
an activity which is not a regulated activity . 2…
ECD Regulations
As Published: 2002
ECD Regulations
6 the Electronic Commerce Directive (Financial Services and Markets) Regulations 2002 (SI 2002/1775).
profit estimate
As Published: 2005
profit estimate
(in PR and LR ) (as defined in the PR Regulation 185 ) a profit forecast for a financial period which has expired and for which results have not yet been published. 30…
not-for-profit body
As Published: 2013
not-for-profit body
52 a body which by virtue of its constitution or any enactment: (a) is required (after payment of outgoings) to apply the whole of its income, and any capital which it expends, for charitable or publi…
specific costs levy
As Published: 2001
specific costs levy
a levy, forming part of the management expenses levy , to meet the specific costs in the financial year of the compensation scheme to which the levy relates, each participant firm's share being calcul…
home purchase provider
As Published: 2006
home purchase provider
8 a firm with permission (or which ought to have permission ) for entering into a home purchase plan .
CSDR
As Published: 2017
CSDR
211 Regulation (EU) No 909/2014 of the European Parliament and of the Council of 23 July 2014 on improving securities settlement in the EU and on central securities depositories and amending the Settl…
debt management client money distribution rules
As Published: 2014
debt management client money distribution rules
87 the rules and guidance in CASS 11.13 .
authorised approved person employer
As Published: 2018
authorised approved person employer
150 (in relation to an approved person with a current approved person approval ) the firm on whose application approval for the performance of the controlled function was given under section 59 of the…
tied MCD credit intermediary
As Published: 2015
tied MCD credit intermediary
67 a tied MCD mortgage credit intermediary or a tied MCD article 3(1)(b) credit intermediary . [Note: article 4(7) of the MCD ]…
authorised unit trust scheme
As Published: 2001
authorised unit trust scheme
4 (as defined in section 237(3) of the Act (Other definitions)) a unit trust scheme which is authorised for the purposes of the Act by an authorisation order .
universal registration document
As Published: 2019
universal registration document
a universal registration document referred to in article 9 of the Prospectus Regulation . 83…