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public announcement
As Published: 2001
public announcement
5 any communication made by or on behalf of the issuer or the stabilising manager being a communication made in circumstances in which it is likely that members of the public will become aware of the…
market data processor system
As Published: 2017
market data processor system
118 the IT system set up and maintained by the FCA to receive data under MiFID 118 and MiFIR .
European Economic Area
As Published: 2001
European Economic Area
the area established by the agreement on the European Economic Area signed at Oporto on 2 May 1992, as it has effect for the time being and which consists of the EEA States . 4 20…
key information document
As Published: 2017
key information document
10 a document that is drawn up for a PRIIP in accordance with the PRIIPs Regulation .
accrued pension pot value
As Published: 2022
accrued pension pot value
176 the current value of the pension benefits of a relevant pension scheme member expressed as a single amount.
leading insurer
As Published: 2001
leading insurer
(in relation to a community co-insurance operation ) a co-insurer that assumes the leader's role in co-insurance practice and, in particular, determines the terms and conditions of insurance and ratin…
alternative approach mandatory prudent segregation record
As Published: 2014
alternative approach mandatory prudent segregation record
111 the record created and maintained by a firm under CASS 7.13.66 R to CASS 7.13.68 R 111 .
typical APR
As Published: 2014
typical APR
58 an APR at or below which the firm communicating or approving the financial promotion reasonably expects, at the date on which the financial promotion is communicated or approved , that credit would…
Great Britain credit union
As Published: 2012
Great Britain credit union
43 a body corporate registered under the Co-operative and Community Benefit Societies Act 2014 59 as a credit union in accordance with the Credit Unions Act which is an authorised person .
MiFID business bidding
As Published: 2012
MiFID business bidding
146 the regulated activity of bidding in emissions auctions on own account or on behalf of clients where, in relation to a financial instrument , it is carried on by a MiFID investment firm (other tha…
Insurance market activity
As Published: 2003
Insurance market activity
means a regulated activity relating to contracts of insurance written at Lloyd's. 21…
PERG 2 Annex 1 Authorisation and regulated activities
As Published: 2005
PERG 2 Annex 1 Authorisation and regulated activities
…
adviser
As Published: 2001
adviser
4 (1) (except in IPRU(INV) 13) 68 an individual who is: a representative , 49 an appointed representative or a tied agent 49 (2) (in IPRU(INV) 13) a financial adviser . 68 17…
Unfair Terms Regulations
As Published: 2003
Unfair Terms Regulations
the Unfair Terms in Consumer Contracts Regulations 1999 (SI 1999/2083), as amended by SI 2001/1186 and SI 2001/3649. 6…
debt management firm
As Published: 2013
debt management firm
84 (a) a firm which carries on the activities of debt counselling or debt adjusting , alone or together, with a view to an individual entering into a particular debt solution ; or (b) a firm which car…
exit strategy
As Published: 2021
exit strategy
149 in accordance with regulation 23(3) of the UK auctioning regulations , one or more documents setting out detailed measures to ensure a smooth transition from an exiting RAP to its successor.
unsecured lending
As Published: 2003
unsecured lending
8 lending where the mortgage lender does not take a mortgage or other form of security in respect of the credit provided to the customer .