Search Result
COBS 12.3 Non-independent research [deleted]
As Published: 2017
COBS 12.3 Non-independent research [deleted]
…
public offer
As Published: 2001
public offer
5 an offer of securities to the public and described in the POS Regulations .
TC 2.2B Reporting requirements [deleted]
As Published: 2011
TC 2.2B Reporting requirements [deleted]
…
self-regulatory organisation
As Published: 2020
self-regulatory organisation
191 one of the professional bodies listed in Schedule 1 to the Money Laundering Regulations .
Pensions Ombudsman
As Published: 2018
Pensions Ombudsman
165 the person appointed as the Pensions Ombudsman by the Secretary of State under section 145 of the Pensions Schemes Act 1993.
framework contract
As Published: 2009
framework contract
36 157 (in accordance with regulation 2(1) of the Payment Services Regulations ) a contract for payment services which governs the future execution of individual and successive payment transactions 11…
member of the management body
As Published: 2017
member of the management body
118 (in relation to a UK recognised body ) any one of the following: (a) its chairman or president; or (b) its chief executive ; or (c) a member of its governing body ; or (d) a person who, alone or j…
policy summary
As Published: 2004
policy summary
21 a summary of a non-investment insurance contract in the format and 62 containing the information specified in ICOBS 6 Annex 2 62 .
historic price
As Published: 2001
historic price
a price calculated by reference to the valuation point immediately preceding the authorised fund manager's agreement to sell or, as the case may be, to redeem the units in question. 1…
occupational pension scheme
As Published: 2001
occupational pension scheme
(a) (a scheme 24 specified in article 3(1) of the Regulated Activities Order (Interpretation)) which is, in summary, a pension scheme established for the purpose of providing benefits to people with s…
COCON Sch 5 Rights of action for damages
As Published: 2015
COCON Sch 5 Rights of action for damages
…
Debt Respite moratorium
As Published: 2021
Debt Respite moratorium
143 means a breathing space moratorium or mental health crisis moratorium under The Debt Respite Scheme (Breathing Space Moratorium and Mental Health Crisis Moratorium) (England and Wales) Regulations…
K-DTF requirement
As Published: 2001
K-DTF requirement
15 the part of the K-factor requirement calculated on the basis of the DTF of a MIFIDPRU investment firm in accordance with MIFIDPRU 4.15 .
funds at Lloyd's
As Published: 2001
funds at Lloyd's
assets (not being syndicate assets ) provided by or on behalf of a member to meet the liabilities arising from the member 's insurance business at Lloyd's which are held in a Lloyd's trust fund and ma…
pre-contractual disclosure
As Published: 2023
pre-contractual disclosure
220 a disclosure produced under ESG 5.3 in respect of a sustainability product .
full-scope EEA AIFM
As Published: 2013
full-scope EEA AIFM
70 an EEA AIFM which is authorised by its Home State in accordance with article 6(1) of AIFMD .
eligible distribution of income
As Published: 2024
eligible distribution of income
169 an eligible CIS amount within section 9(3)(c) of the Dormant Assets Act 2022.
document
As Published: 2001
document
any piece of recorded information, including (in accordance with section 417(1) of the Act (Interpretation)) information recorded in any form; in relation to information recorded otherwise than in leg…