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sickness or distressed circumstances contract
As Published: 2001
sickness or distressed circumstances contract
any contract in accordance with which benefits are provided for the relief or maintenance of any person during sickness or when in distressed circumstances. 5…
cancellation
As Published: 2001
cancellation
141 (in COLL ) (in relation to units ) a cancellation of a unit by: (a) an ICVC ; or (b) the trustee of an AUT ; or (c) the depositary of an ACS .
EU-adopted International Financial Reporting Standards (or EU adopted IFRS)
As Published: 2019
EU-adopted International Financial Reporting Standards (or EU adopted IFRS)
137 international financial accounting standards within the meaning of EC Regulation No 1606/2002 of the European Parliament and of the Council of 19 July 2002 as adopted from time to time by the Euro…
placing
As Published: 2005
placing
(in LR ) a marketing of securities already in issue but not listed or not yet in issue, to specified persons or clients of the sponsor or any securities house assisting in the placing, which does not…
CONRED 2 Annex 6 Redress determination where firm considers opt-in ineffective
As Published: 2013
CONRED 2 Annex 6 Redress determination where firm considers opt-in ineffective
…
natural gas
As Published: 2001
natural gas
(a) natural gas in any form, including natural gas as deliverable through the Network Code ; and (b) any right that relates to natural gas, for example the right under a contract or otherwise to requi…
MiFID Org Regulation
As Published: 2017
MiFID Org Regulation
the UK version of 132 118 Commission Delegated Regulation (EU) 2017/565 of 25 April 2016 supplementing MiFID of the European Parliament and of the Council as regards organisational requirements and op…
total count method
As Published: 2014
total count method
61 a method for performing a physical asset reconciliation , as described in CASS 6.6.27 R .
systemic risk
As Published: 2013
systemic risk
120 a risk of disruption in the financial system with the potential to have serious negative consequences for the financial system and the real economy.
contingency fund policy
As Published: 2019
contingency fund policy
233 the policy required by COBS 18.12.35R .
stakeholder pension scheme
As Published: 2001
stakeholder pension scheme
(in accordance with article 3 of the Regulated Activities Order ) 158 a scheme that meets the conditions in section 1 of the Welfare Reform and Pensions Act 1999 or article 3 of the Welfare Reform and…
bondholder
As Published: 2021
bondholder
82 a person who holds a bond issued by London & Capital Finance plc which has was still in issue and had not been redeemed as at 30 January 2019.
serious financial difficulty
As Published: 2020
serious financial difficulty
188 circumstances that mean a retail client is experiencing serious financial difficulty.
base own funds requirement
As Published: 2013
base own funds requirement
50 52 (1) [deleted] 83 52 (2) (for the purposes of IPRU(INV) 11) an amount of own funds that a collective portfolio management firm or a collective portfolio management investment firm must hold as se…
feeder LTAF
As Published: 2021
feeder LTAF
140 an LTAF which is dedicated to units in either: (a) a single qualifying master LTAF ; or (b) a single sub-fund of a qualifying master LTAF that is an umbrella .
general application rule
As Published: 2007
general application rule
22 COBS 1.1.1 R (which in summary provides that COBS applies to a firm with respect to certain activities carried on from an establishment maintained by it in the United Kingdom ).
lifetime ISA government bonus
As Published: 2017
lifetime ISA government bonus
72 has the meaning given to “government bonus” in paragraph 1 of the Schedule to the ISA Regulations .
MiFID business
As Published: 2006
MiFID business
39 investment services and activities and, where relevant, ancillary services carried on by a MiFID investment firm .
equity stake
As Published: 2001
equity stake
(in relation to a company ) any kind of equity stake in that company , including shares in it (including non-voting and non-equity shares , debt securities that are convertible or exchangeable into su…
Code of Practice for Approved Persons
As Published: 2001
Code of Practice for Approved Persons
197 the guidance 182 in APER 3 and APER 4 . 182…