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Gibraltar Order
As Published: 2001
Gibraltar Order
the Financial Services and Markets Act 2000 (Gibraltar) Order 2001 (SI 2001/3084). 3…
contingency fund
As Published: 2019
contingency fund
233 (in relation to an operator of an electronic system in relation to lending ) a fund, trust, body corporate , segregated account or any other arrangement used for the purpose of making payments to…
introducer appointed representative
As Published: 2001
introducer appointed representative
an appointed representative appointed by a firm whose scope of appointment is limited to: 30 (a) effecting introductions; and (b) distributing non-real time financial promotions . 5…
class tests
As Published: 2005
class tests
(in LR ) the tests set out in LR 10 Annex 1 (and for certain specialist companies, those tests as modified by LR 10.7 ), which are used to determine how a transaction is to be classified for the purpo…
extended warranty
As Published: 2018
extended warranty
131 an agreement entered into by a customer for monetary consideration which provides cover, guarantees or undertakings in relation to defects in goods .
auction regulation bidding
As Published: 2012
auction regulation bidding
90 the regulated activity of bidding in emissions auctions where it is carried on by a firm that is exempt from MiFID under article 2(1)(j) 139 189 .
biomass
As Published: 2008
biomass
29 the biodegradable fraction of products, waste and residues from agricultural (including vegetal and animal substances), forestry and related industries, as well as the biodegradable fraction of ind…
UKLA
As Published: 2001
UKLA
the FCA 97 acting in its capacity as the competent authority for the purposes of Part VI of the Act (Official Listing). 2…
regulated person
As Published: 2016
regulated person
157 (in FEES 9 ) a person on whom the IFR imposes an obligation, restriction or prohibition, including participants in IFR card payment systems .
open-end agreement
As Published: 2014
open-end agreement
64 a credit agreement with no fixed duration.
client bank account acknowledgement letter
As Published: 2014
client bank account acknowledgement letter
(1) (in CASS 7 ) a letter in the form of the template in CASS 7 Annex 2 R. 166 (2) (in CASS 11 ) a letter in the form of the template in CASS 11 Annex 1 R . 166 (3) (in CASS 13 ) a letter in the form…
retail investment
As Published: 2004
retail investment
(a) a life policy ; or 19 (b) a unit ; or 19 (c) a stakeholder pension scheme ; or 19 (ca) a personal pension scheme ; or 40 (d) an interest in an investment trust savings scheme ; or 19 (e) a structu…
price information
As Published: 2003
price information
14 (in MCOB ) information, in a financial promotion 39 , that relates to: (a) any rate of charge; or (b) the presence or absence of any payments, fees or charges 123 ; or (c) the amount, frequency or…
solicited real time financial promotion
As Published: 2001
solicited real time financial promotion
(in accordance with article 8 of the Financial Promotion Order ) a real time financial promotion which is solicited, that is, it is made in the course of a personal visit, telephone call or other inte…
non-EEA insurer
As Published: 2004
non-EEA insurer
13 an insurer whose head office is not in an EEA State .
Transparency Directive
As Published: 2006
Transparency Directive
64 64 64 70 the European Parliament and Council Directive on the harmonisation of transparency requirements in relation to information about issuers whose securities are admitted to trading on a regul…
conduct risk oversight (Lloyd’s) function
As Published: 2018
conduct risk oversight (Lloyd’s) function
227 FCA controlled function SMF23b in the table of FCA-designated senior management functions , described more fully in SUP 10C.6.4R .
UNFCOG
As Published: 2007
UNFCOG
24 the Unfair Contract Terms and Consumer Notices 63 Regulatory Guide.
IFPRU Sch 3 Fees and other requirement payments
As Published: 2014
IFPRU Sch 3 Fees and other requirement payments
…