Search Result
State
As Published: 2018
State
170 means: (a) the sovereign or other head of a State in their public capacity; (b) the government of a State; (c) a department of a State; or (d) an agency or a special purpose vehicle of a State, in…
credit broking
As Published: 2013
credit broking
149 an activity of the kind specified in article 36A of the Regulated Activities Order .
accumulation unit
As Published: 2001
accumulation unit
4 a unit in respect of which income is credited periodically to capital property under COLL 6.8.3 R (Income allocation and distribution) 44 .
TPR SFGB money advice levy
As Published: 2019
TPR SFGB money advice levy
86 the amount payable to the FCA by a firm to which FEES 7B.3 (The TPR SFGB money advice levy and debt advice levy) and FEES 7B Annex 1R apply.
clearing facilitation service
As Published: 2013
clearing facilitation service
281 (in relation to a RIE ) any regulated activity carried on by an RIE for the purposes of, or in connection with, the provision by the RIE of services designed to facilitate the provision of clearin…
linked deposits
As Published: 2003
linked deposits
7 additional facilities (which may be a current account, a savings account, or both) that are linked to a regulated mortgage contract but which may be the subject of a separate contract.
conditional permitted unlisted securities
As Published: 2020
conditional permitted unlisted securities
251 in relation to conditional permitted links , any investment (including a share, debt security, Treasury Bill, Tax Reserve Certificate or Certificate of Tax Deposit) that is not a permitted unliste…
restricted option
As Published: 2019
restricted option
197 an option : (1) that is in the money at the point of sale; (2) where the value is determined by one-to-one fluctuations in the value or price of the underlying asset; and (3) for which the value i…
Small Business, Enterprise and Employment Act
As Published: 2016
Small Business, Enterprise and Employment Act
147 the Small Business, Enterprise and Employment Act 2015 (c.26).
governing body
As Published: 2001
governing body
the board of directors , committee of management or other governing body of a firm or recognised body , including, in relation to a sole trader , the sole trader . 4…
relevant body
As Published: 2021
relevant body
211 (in MIFIDPRU ) a general meeting of the shareholders of a firm or an equivalent meeting of the owners of a firm .
EEA UCITS scheme
As Published: 2011
EEA UCITS scheme
69 a collective investment scheme established in accordance with the UCITS Directive in an EEA State 137 .
credit union subordinated debt
As Published: 2016
credit union subordinated debt
207 a subordinated loan to a credit union that meets the conditions in part 8.2(5) of the Credit Unions Rulebook Part of the PRA Rulebook .
UK parent investment holding company
As Published: 2001
UK parent investment holding company
92 an investment holding company incorporated in the UK or that has its principal place of business in the UK that: (1) is part of an investment firm group ; and (2) is not a subsidiary of: (a) a MIFI…
weather derivative
As Published: 2001
weather derivative
a contract for differences where the index or other factor in question is a climatic variable. 1…
projection
As Published: 2001
projection
5 a projection of the amount of any future benefit payable under a contract or policy , being a benefit the amount of which is not ascertainable under the terms of the contract or policy when the calc…
linked life stakeholder product
As Published: 2004
linked life stakeholder product
12 the stakeholder product specified by regulations 6 and 7 (rights under certain linked long-term contracts) of the Stakeholder Regulations ;…