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WDPG

As Published: 2016

WDPG

33 the Wind-down Planning Guide.

COLLG

As Published: 2004

COLLG

the Collective Investment Scheme Information Guide. 20…

CASS

As Published: 2003

CASS

17 the Client Assets sourcebook. 16…

sole trader

As Published: 2001

sole trader

an individual who is a firm . 5…

unauthorised fund

As Published: 2013

unauthorised fund

48 a fund which is not an authorised fund .

employment

As Published: 2016

employment

118 see “ employee ”.

shadow director

As Published: 2005

shadow director

(in LR ) as in sub-paragraph (b) of the definition of director in section 417(1) of the Act .

coupon

As Published: 2004

coupon

27 a dividend, interest payment or any similar payment.

GENPRU

As Published: 2006

GENPRU

20 the General Prudential sourcebook.

CCA

As Published: 2013

CCA

149 the Consumer Credit Act 1974.

BCD

As Published: 2001

BCD

4 Banking Consolidation Directive .

CMCOB

As Published: 2019

CMCOB

228 the Claims Management: Conduct of Business sourcebook.

UK

As Published: 2001

UK

United Kingdom . 2…

electronic communication

As Published: 2009

electronic communication

has the meaning given in section 15(1) of the Electronic Communications Act 2000.

AIF

As Published: 2013

AIF

96 alternative investment fund .

self-regulatory organisation

As Published: 2005

self-regulatory organisation

…

MCAS scheme

As Published: 2004

MCAS scheme

20 Mortgage Code Arbitration Scheme.

deal

As Published: 2001

deal

a dealing transaction. 3…

MLRO

As Published: 2004

MLRO

money laundering reporting officer .

reinsurance

As Published: 2004

reinsurance

29 includes retrocession.

MIS

As Published: 2017

MIS

118 market interface specification .

issuing e-money

As Published: 2011

issuing e-money

…

PERG

As Published: 2005

PERG

29 the Perimeter Guidance manual.

IMRO

As Published: 2001

IMRO

the Investment Management Regulatory Organisation Limited. 5…

INSPRU

As Published: 2006

INSPRU

52 the Prudential sourcebook for Insurers.

Takeover Panel

As Published: 2001

Takeover Panel

the Panel on Takeovers and Mergers. 3…

AFM

As Published: 2011

AFM

77 authorised fund manager .

GENPRU TP 9 [deleted]

As Published: 2007

GENPRU TP 9 [deleted]

…

remedial direction

As Published: 2001

remedial direction

[deleted] 230…

commodity future

As Published: 2001

commodity future

a future relating to a commodity . 3…

CPI

As Published: 2012

CPI

136 the Consumer Prices Index.

FC

As Published: 2011

FC

Financial crime: a guide for firms 57…

SSAS

As Published: 2001

SSAS

small self-administered scheme . 5…

DISP

As Published: 2001

DISP

Dispute Resolution: the Complaints sourcebook. 3…

EL

As Published: 2006

EL

34 expected loss .

IFPRU

As Published: 2013

IFPRU

124 the Prudential sourcebook for Investment Firms…

BCOBS

As Published: 2009

BCOBS

32 the Banking: Conduct of Business sourcebook.

CFD

As Published: 2006

CFD

48 contract for differences .

OECD

As Published: 2001

OECD

Organisation for Economic Co-operation and Development. 4…

SETS

As Published: 2001

SETS

the Stock Exchange Electronic Trading Service. 5…

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