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capital redemption
As Published: 2001
capital redemption
(in relation to a class of contract of insurance ) capital redemption contracts where effected or carried out by a person who does not carry on a banking business, and otherwise carries on the regulat…
temporary permission
As Published: 2019
temporary permission
86 (in accordance with regulation 8, 11, 28 or 34 of the EEA Passport Rights (Amendment, etc., and Transitional Provisions) (EU Exit) Regulations 2018), as the case may be, Part 4A permission (or vari…
CBTL business
As Published: 2016
CBTL business
179 any of the following activities: (a) acting as a CBTL lender ; or (b) acting as a CBTL arranger ; or (c) acting as a CBTL adviser . [Note: article 4(1) of the MCD Order ]…
settlement account
As Published: 2014
settlement account
124 an account containing money and/or assets that is held with a central bank , central securities depository, central counterparty or any other institution acting as a settlement agent , which is us…
transaction report
As Published: 2001
transaction report
79 79 a report of a transaction: 79 (a) for the purposes of SUP TP 9 or MAR 9 116 ; or 79 (b) which meets the requirements imposed by and under article 26 of MiFIR .
own-initiative requirement power
As Published: 2013
own-initiative requirement power
116 The FCA's power under section 55L(3) of the Act or the PRA's power under section 55M(3) of the Act to impose a new requirement on a firm , to vary a requirement that it has imposed on the firm or…
borrow back
As Published: 2003
borrow back
9 a feature of a regulated mortgage contract under which the customer has the ability to re-borrow monies paid by him.
ancillary services undertaking
As Published: 2004
ancillary services undertaking
116 (1) [deleted] 171 154 154 (2) [deleted] 171 (3) means an undertaking the principal activity of which consists of owning or managing property, managing data-processing services, or a similar activi…
innovative finance ISA
As Published: 2016
innovative finance ISA
142 an individual savings account which includes an innovative finance component .
pensions dashboard user
As Published: 2022
pensions dashboard user
214 a consumer who is using a pensions dashboard service to locate information in relation to their pensions.
complaints time barring rule
As Published: 2007
complaints time barring rule
58 284 97 DISP 1.8 . 97…
SMCR legal function
SMCR legal function
184 (in relation to an SMCR firm ) has the meaning in SYSC 26.4.10R to SYSC 26.4.11R .
PERG 10 Annex 1 Flow chart showing the steps to be considered in deciding whether authorisation is needed.
As Published: 2006
PERG 10 Annex 1 Flow chart showing the steps to be considered in deciding whether authorisation is needed.
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SUP 16 Annex 43A Forms REP015 and REP016
As Published: 2017
SUP 16 Annex 43A Forms REP015 and REP016
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future income benefits
As Published: 2020
future income benefits
132 the full value of the pension income that would have been paid by the ceding arrangement (that is, before any commutation for a lump sum);…
exercising, or having the right to exercise, the lender's rights and duties under a regulated credit agreement
As Published: 2013
exercising, or having the right to exercise, the lender's rights and duties under a regulated credit agreement
87 the regulated activity specified in article 60B(2) of the Regulated Activities Order .
social housing firm
As Published: 2004
social housing firm
18 (in MIPRU 4 (Capital resources)) 43 a wholly-owned subsidiary of: (a) a local authority; or (b) a registered social landlord; which carries on non-profit regulated activities in connection with hou…