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scheme particulars
As Published: 2001
scheme particulars
a document containing information about a regulated collective investment scheme . 5…
exempt MCD regulated mortgage contract
As Published: 2015
exempt MCD regulated mortgage contract
102 a regulated mortgage contract that is: (a) an MCD exempt bridging loan ; (b) an MCD exempt credit union loan ; (c) an MCD exempt overdraft loan ; or (d) an MCD exempt lifetime mortgage .
pension transfer specialist
As Published: 2001
pension transfer specialist
an individual who: 166 (1) has passed the required examinations as specified in TC ; and 166 (2) is employed by a firm to give advice on pension transfers, pension conversions and pension opt-outs or…
MLR person
As Published: 2017
MLR person
122 a person that is registered under the Money Laundering Regulations .
qualifying social entrepreneurship fund
As Published: 2013
qualifying social entrepreneurship fund
21 has the meaning given in article 3(b) of the EuSEF regulation .
synthetic cash
As Published: 2001
synthetic cash
a position in a derivative that offsets an exposure in property to the point where that exposure has effectively been neutralised, and the effect of the combined holding of both property and the posit…
advertisement
As Published: 2005
advertisement
(in PRR 156 and LR 4 ) (as defined in the Prospectus Regulation ) a communication with both of the following characteristics 156 : (a) relating to a specific offer to the public of securities or to an…
third country competent authority
As Published: 2006
third country competent authority
26 a regulatory body of a state or territory that is not an EEA State .
secured debt
As Published: 2001
secured debt
a debt fully secured on: 28 19 (a) assets whose value at least equals the amount of debt; or 28 19 (b) a letter of credit or guarantee from an approved counterparty . 5 28 19…
Electing Participants Regulations
As Published: 2004
Electing Participants Regulations
the Financial Services and Markets Act 2000 (Compensation Scheme: Electing Participants) Regulations 2001 (SI 2001/1783).
issuing electronic money
As Published: 2011
issuing electronic money
102 197 the activity specified in article 9B of the Regulated Activities Order (Issuing electronic money), which is the activity of issuing electronic money by: (a) a credit institution , a credit uni…
innovative finance component
As Published: 2016
innovative finance component
142 a qualifying investment as prescribed in regulation 8A of the ISA Regulations .
relevant office-holder
As Published: 2001
relevant office-holder
a relevant office-holder as defined in section 189 of the Companies Act 1989, which is in summary: (a) the official receiver; (b) (in relation to a company) any person acting as its liquidator, provis…
relevant provisions
As Published: 2014
relevant provisions
132 in accordance with article 36A of the Regulated Activities Order , articles 60C (exempt agreements: exemptions relating to the nature of the agreement), 60D (exempt agreements: exemption relating…
specific costs
As Published: 2001
specific costs
management expenses other than base costs and establishment costs . 4…
approved credit institution
As Published: 2001
approved credit institution
a credit institution recognised or permitted under the law of an EEA State to carry on any of the activities set out in Annex 1 to the CRD 106 .
credit repair firm
As Published: 2013
credit repair firm
151 a firm which carries on the activity of providing credit information services with a view to securing or advising on the correction of or omission of anything from, or making of any modification o…
approved stock lending transaction
As Published: 2004
approved stock lending transaction
21 a stock lending transaction in respect of which the conditions in 37 INSPRU 3.2.36 R 37 have been met.
intermediate holding vehicle
As Published: 2007
intermediate holding vehicle
71 a company , trust or partnership but not a collective investment scheme , whose purpose is to enable the holding of overseas 74 immovables on behalf of a non-UCITS retail scheme or a qualified inve…