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ICOBS 4 Annex 1 Initial disclosure document [deleted]
As Published: 2016
ICOBS 4 Annex 1 Initial disclosure document [deleted]
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EIS share
As Published: 2001
EIS share
a share in respect of which the beneficial owner may, subject to his individual circumstances, be qualified, or has been qualified, for relief under Chapter III of Part VII of the Income and Corporati…
registered society
As Published: 2017
registered society
181 a society registered or deemed to be registered under the Co-operative and Community Benefit Societies Act 2014.
FCA registered tied agent
As Published: 2013
FCA registered tied agent
151 a tied agent who is an agent for the purposes of section 39A of the Act .
K-CON requirement
As Published: 2001
K-CON requirement
15 the part of the K-factor requirement that accounts for concentration risk in the trading book of a MIFIDPRU investment firm , calculated in accordance with MIFIDPRU 5.7 .
income equalisation
As Published: 2001
income equalisation
(in relation to a scheme ) a capital sum which, in accordance with a power contained in the instrument constituting the fund 128 , is included in an allocation of income for a unit issued, sold or con…
front end loaded
As Published: 2001
front end loaded
2 (in relation to an investment ) one where deductions for charges and expenses are loaded disproportionately on the early years.
relevant debts under management
As Published: 2014
relevant debts under management
132 in relation to a firm , a debt due under a credit agreement or a consumer hire agreement in relation to which the firm is carrying on debt adjusting or an activity connected to that activity.
SEF Regulation
As Published: 2019
SEF Regulation
180 the UK version of Regulation (EU) No 346/2013 of the European Parliament and the Council of 17 April 2013 on European social entrepreneurship funds, which is part of UK law by virtue of the EUWA .
smoothed linked long term stakeholder product
As Published: 2004
smoothed linked long term stakeholder product
27 the stakeholder product specified by regulations 6, 7 and 8 (smoothed linked long term contracts) of the Stakeholder Regulations ;…
Lloyd's Arbitration Scheme
As Published: 2001
Lloyd's Arbitration Scheme
the Lloyd's Arbitration Scheme (Members and Underwriting Agents Arbitration Scheme) established under Lloyd's Arbitration Scheme (Members and Underwriting Agents Scheme) Byelaw (No 15 of 1992). 2…
consumer credit lending
As Published: 2014
consumer credit lending
157 in accordance with article 60B of the Regulated Activities Order , entering into a regulated credit agreement as lender or exercising, or having the right to exercise, the lender's rights and duti…
lead generator
As Published: 2014
lead generator
56 (1) 78 a person that acquires the personal contact details of customers and passes the customers' details to a firm in return for a fee; 78 (2) (in CMCOB , and elsewhere in the FCA Handbook where u…
constraining benchmark
As Published: 2019
constraining benchmark
232 as defined in COLL 4.2.5R(3)(c-b)(ii) .
establishment costs
As Published: 2001
establishment costs
(1) (in FEES 6 27 27 ) the costs of establishing the compensation scheme . (2) (in FEES 5 4 3 27 27 ) the costs of establishing the Financial Ombudsman Service .
MCD firm
As Published: 2015
MCD firm
99 any of the following: (a) an MCD creditor ; (b) an MCD credit intermediary ; or (c) an MCD mortgage administrator . [Note: article 4(2), (5) and (21) of the MCD ]…
ISA transfer
As Published: 2001
ISA transfer
a transaction resulting from a decision, made with or without advice from a firm , by a customer who is an individual, to transfer the investments (or their value) held in his existing ISA in favour o…
relevant charitable scheme
As Published: 2001
relevant charitable scheme
an authorised fund which is: (a) a registered charity; or (b) a charitable unit trust scheme under regulation 7(2)(d) of the Income Tax (Definition of Unit Trust Scheme) Regulations 1988. 5…
speculative illiquid security
As Published: 2019
speculative illiquid security
197 has the meaning in COBS 4.12B.50R 214 .
non-real time financial promotion
As Published: 2001
non-real time financial promotion
(in accordance with article 7(2) of the Financial Promotion Order ) a financial promotion that is not a real time financial promotion . 2 4…