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internal client money reconciliation
As Published: 2014
internal client money reconciliation
132 (1) (in CASS 7 ) the client money reconciliation described in CASS 7.15.12R . 164 (2) (in CASS 13 ) the client money reconciliation described in CASS 13.10.5R to 13.10.14R . 164…
MiFID RTS 11
As Published: 2017
MiFID RTS 11
the UK version of 132 118 Commission Delegated Regulation (EU) 2017/588 of 14 July 2016 supplementing MiFID with regard to regulatory technical standards on the tick size regime for shares, depositary…
regulated sale and rent back firm
As Published: 2009
regulated sale and rent back firm
76 a firm that carries on any regulated sale and rent back activity .
relevant overseas USRs
As Published: 2015
relevant overseas USRs
145 the following overseas uncertificated securities regulations: (a) the Jersey Companies (Uncertificated Securities) (Jersey) Order 1999; (b) the Guernsey Uncertified Securities (Guernsey) Regulatio…
KII Regulation
As Published: 2011
KII Regulation
the UK version of 14 8 Commission Regulation (EU) No 583/2010, specifying the form and contents of key investor information , the text of which is reproduced in COLL Appendix 1UK , which is part of UK…
securities note
As Published: 2005
securities note
(in Part 6 rules ) a securities note referred to in article 6(3) of the Prospectus Regulation 116 . 34…
interest rate benchmark
As Published: 2018
interest rate benchmark
161 has the meaning in article 3.1(22) of the benchmarks regulation .
insurance undertaking
As Published: 2001
insurance undertaking
an undertaking including a member that carries on insurance business , whether or not an insurer . 134…
minor stock market index
As Published: 2019
minor stock market index
135 a stock market index which is not a major stock market index .
index-linked security
As Published: 2010
index-linked security
90 (in COLL ) a debt security for which the cash flows are determined by reference to an index of consumer prices.
commercial customer
As Published: 2004
commercial customer
17 (in PRIN , 265 ICOBS and SUP 16 246 ) a customer who is not a consumer 67 .
UK AIFM
As Published: 2013
UK AIFM
48 an AIFM established in the UK and with a Part 4A permission to carry on the regulated activity of managing an AIF .
electronic SCV rules
As Published: 2009
electronic SCV rules
(in COMP ) COMP 17.2.1 R(2) , COMP 17.2.3 R(3) and COMP 17.2.5 R , the application of which is determined by COMP 17.1 and COMP 17.2.7 R . 60…
located
As Published: 2018
located
77 in relation to administrators (as defined in the benchmarks regulation ), benchmark contributors and supervised entities , has the meaning in article 3.1(28) of the benchmarks regulation which is:…
matched principal trading
As Published: 2017
matched principal trading
118 a transaction where the facilitator interposes itself between the buyer and the seller to the transaction in such a way that it is never itself exposed to market risk throughout the execution of t…
Building Societies Ombudsman scheme
As Published: 2001
Building Societies Ombudsman scheme
1 the former scheme set up and recognised under the Building Societies Act 1986 to handle complaints about building societies .
non-executive director function
As Published: 2001
non-executive director function
69 FCA controlled function CF2 in 78 the table of FCA controlled functions , described more fully in SUP 10A.6.12 R and SUP 10A.6.13 R . 69 102…
limit of indemnity
As Published: 2003
limit of indemnity
7 8 (in MIPRU 3 , IPRU(INV) 9.2 and IPRU(INV) 13.1 ) 88 the sum available to indemnify a firm in respect of each claim made under its professional indemnity insurance.
exercise price
As Published: 2005
exercise price
(in LR ) (in relation to securitised derivatives ), the price stipulated by the issuer at which the holder can buy or sell the underlying instrument from or to the issuer . 26…