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specialist securities
As Published: 2005
specialist securities
(in LR and FEES 38 ) securities which, because of their nature, are normally bought and traded by a limited number of investors who are particularly knowledgeable in investment matters. 34…
building society
As Published: 2001
building society
4 (as defined in section 119(1) of the Building Societies Act 1986) a building society incorporated (or deemed to be incorporated) under that Act.
accrued pension value
As Published: 2022
accrued pension value
176 an accrued pension pot value , an accrued pension fund value , or an annualised accrued pension value .
gross-rated business
As Published: 2021
gross-rated business
74 business where the premium paid by the consumer is set by the insurer or managing agent .
CONRED 4 Annex 18 Summary of scheme flow diagram [CONRED 4.1.11G]
As Published: 2022
CONRED 4 Annex 18 Summary of scheme flow diagram [CONRED 4.1.11G]
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exercise notice
As Published: 2005
exercise notice
(in LR ) (in relation to securitised derivatives ), a document that notifies the issuer of a holder's intention to exercise its rights under the securitised derivative . 26…
TCFD entity report
As Published: 2021
TCFD entity report
108 a public report regarding the overall assets managed or administered by the firm in relation to its TCFD in-scope business as per the requirements in ESG 2.2 .
injured party
As Published: 2002
injured party
(in ICOBS 70 ) 28 a resident of the United Kingdom or the 166 EEA entitled to compensation in respect of any loss or injury caused by vehicles . 61 [Note: article 1(2) of Directive 72/166/EC (First Mo…
EIS particulars
As Published: 2001
EIS particulars
a document containing particulars of an Enterprise Investment Scheme . 4…
firm type
As Published: 2004
firm type
8 one of a list of firm types set out in SUP 16 Annex 17 used for the purposes of checking and correcting standing data under SUP 16.10.4 R .
friendly society
As Published: 2001
friendly society
2 an incorporated friendly society or a registered friendly society .
relevant credit-related complaint
As Published: 2014
relevant credit-related complaint
132 a relevant existing credit-related complaint or a relevant new credit-related complaint .
SUP 15 Annex 11D Form Notification of major operational or security incidents – PSD2
As Published: 2018
SUP 15 Annex 11D Form Notification of major operational or security incidents – PSD2
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policyholder advocate
As Published: 2005
policyholder advocate
31 the person appointed under COBS 20.2.42 R 52 to negotiate with a firm on its proposals for making a reattribution of its inherited estate .
annual financial statements
As Published: 2009
annual financial statements
68 the financial statements in respect of the year ending on the firm's annual accounting reference date, which is the date to which a corporate firm's accounts are prepared for the purposes of the Co…
COBS 11 Annex 1UK Regulatory Technical Standard 28 (RTS 28) [deleted]
As Published: 2019
COBS 11 Annex 1UK Regulatory Technical Standard 28 (RTS 28) [deleted]
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EMD complaint
As Published: 2018
EMD complaint
121 any oral or written expression of dissatisfaction, whether justified or not, from, or on behalf of, an electronic money holder about the provision of, or failure to provide, a financial service or…
public sector issuer
As Published: 2005
public sector issuer
27 states and their regional and local authorities, state monopolies , state finance organisations , public international bodies , statutory bodies and OECD state guaranteed issuers .