Search Result
home finance arranger
As Published: 2006
home finance arranger
8 a firm with permission (or which ought to have permission ) for arranging a home finance transaction .
MiFID or equivalent third country business
As Published: 2007
MiFID or equivalent third country business
47 MiFID business or the equivalent business of a third country investment firm .
shared equity credit agreement
As Published: 2015
shared equity credit agreement
133 an MCD credit agreement where the capital repayable is based on a contractually set percentage of the value of the immovable property at the time of the capital repayment or repayments. [Note: art…
retail investment adviser
As Published: 2011
retail investment adviser
101 an employee who carries on activities 2, 3, 4, 6, 12 and 13 in TC Appendix 1.1.1 R (other than in relation to a Holloway sickness policy where the Holloway policy special application conditions ar…
FCA-approved SMF manager
As Published: 2015
FCA-approved SMF manager
83 an SMF manager whose approval to perform a designated senior management function is from the FCA .
MAR 6.7 Prices reflecting prevailing market conditions [deleted]
As Published: 2017
MAR 6.7 Prices reflecting prevailing market conditions [deleted]
…
above-threshold non-UK AIFM
As Published: 2019
above-threshold non-UK AIFM
a non-UK AIFM 154 that is not a small AIFM .
regulated-data benchmark
As Published: 2018
regulated-data benchmark
185 has the meaning in article 3.1(24) of the benchmarks regulation .
transaction volumes
As Published: 2015
transaction volumes
69 for each payment system 84 listed in column 1 of the table in 84 FEES 9 Annex 1R , the total 84 number of transfers of funds of the type specified in column 2 of the table 84 undertaken by each PSR…
additional tier 1 capital
As Published: 2013
additional tier 1 capital
(1) (in MIFIDPRU ) as defined in article 61 of the UK CRR , as applied and modified by MIFIDPRU 3.4 . 168 (2) (except in MIFIDPRU ) as defined in article 61 of the UK CRR . 168…
bidding in emissions auctions
As Published: 2021
bidding in emissions auctions
78 the regulated activity , specified in article 24A of the Regulated Activities Order ( Bidding in emissions auctions ), which is in summary the reception, transmission or submission of a bid at an a…
eligible LLP members' capital
As Published: 2006
eligible LLP members' capital
35 members' capital of a limited liability partnership that meets the conditions in IPRU(INV) Annex A 156 .
funeral plan provision activity
As Published: 2022
funeral plan provision activity
137 the regulated activities of: (a) entering as provider into a funeral plan contract ; and (b) carrying out a funeral plan contract as provider.
generic projection
As Published: 2007
generic projection
25 (in COBS ) a projection which reflects the terms of a contract which is representative of the type of business normally undertaken by the firm , or the type of business it is promoting, rather than…
bridging loan
As Published: 2012
bridging loan
(1) an MCD exempt bridging loan ; or 58 (2) (other than in (1)) 58 a regulated mortgage contract which has a term of twelve months or less.
exchange-traded fund
As Published: 2017
exchange-traded fund
119 a fund of which at least one unit or share class is traded throughout the day on at least one trading venue and with at least one market maker which takes action to ensure that the price of its un…
equity release mediation activity
As Published: 2006
equity release mediation activity
31 any of the regulated activities of: (a) arranging a regulated mortgage contract (when carried on in relation to a lifetime mortgage ) or a home reversion plan ; (b) advising on a regulated mortgage…
electronic commerce activity direction
As Published: 2002
electronic commerce activity direction
a direction made, or proposed to be made, by the FCA 167 under regulation 6 of the ECD Regulations . 6…