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FCA required functions
As Published: 2015
FCA required functions
any of the 121 FCA controlled functions labelled as FCA required functions in. 128 121 92 85 85 83 121 83 the table of FCA-designated senior management functions . 128…
primary place of business
As Published: 2018
primary place of business
167 (in relation to insurance distribution activity ) the location from where the main business is managed.
firm in run-off
As Published: 2004
firm in run-off
13 a firm whose Part 4A permission 151 has been varied so as to remove the regulated activity of effecting contracts of insurance .
money service business
As Published: 2002
money service business
carrying on by way of business the activity of: (a) operating a bureau de change; or (b) transmitting money, or any representation of monetary value, by any means; or (c) cashing cheques which are mad…
RRD early intervention condition
As Published: 2015
RRD early intervention condition
138 the requirements of: (a) the EU CRR ; or (b) the laws, regulations and administrative provisions necessary to comply with CRD ; or (c) the laws, regulations and administrative provisions necessary…
model risk
As Published: 2013
model risk
87 the potential loss an institution may incur, as a consequence of decisions that could be principally based on the output of internal models used under any of the internal approaches, due to errors…
passported activity
As Published: 2001
passported activity
an activity carried on by an EEA firm , or by a UK firm , under an EEA right . 5…
announceable information
As Published: 2001
announceable information
4 information which is usually the subject of a public announcement, although not subject to any formal disclosure requirement.
Contractual Scheme Regulations
As Published: 2013
Contractual Scheme Regulations
147 the Collective Investment in Transferable Securities (Contractual Scheme) Regulations 2013 (SI 2013/1388).
programme
As Published: 2008
programme
70 (in RCB ) (as defined in Regulation 1(2) of the RCB Regulations ) issues, or series of issues, of covered bonds which have substantially similar terms and are subject to a framework contract or con…
Swiss general insurer
As Published: 2004
Swiss general insurer
28 a Swiss general insurance company which has permission to effect or carry out contracts of insurance of a kind which is subject to the Swiss Treaty Agreement .
PSR fee payer
As Published: 2018
PSR fee payer
176 a direct payment service provider , or an operator acting as a PSR fee payer , eligible to pay a PSR fee in accordance with FEES 9.2.1R .
IMA SORP
As Published: 2004
IMA SORP
26 the Statement of Recommended Practice for financial statements of authorised funds issued by the Investment Management Association on 14 May 2014. 139…
MiFID Delegated Directive
As Published: 2017
MiFID Delegated Directive
118 Commission Delegated Directive (EU) 2017/593 of 7 April 2016 supplementing MiFID of the European Parliament and of the Council with regard to safeguarding of financial instruments and funds belong…
date of allotment
As Published: 2001
date of allotment
the date on which amounts of the relevant security are allotted to subscribers or purchasers and, where there is an initial or preliminary allotment subject to confirmation, the date of that initial o…
basic advice
As Published: 2004
basic advice
15 the regulated activity , specified in article 52B of the Regulated Activities Order (Providing basic advice on stakeholder products) which is, in summary, providing advice on stakeholder product s…
offer for subscription
As Published: 2005
offer for subscription
(in LR ) an invitation to the public by, or on behalf of, an issuer to subscribe for securities of the issuer not yet in issue or allotted (and may be in the form of an invitation to tender at or abov…