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IDD insurance undertaking
As Published: 2018
IDD insurance undertaking
160 an undertaking as defined in article 13(1) of the Solvency II Directive which, prior to IP completion day , would have required authorisation under that Directive 173 . [Note: article 2(1)(6) of t…
benchmark endorser
As Published: 2018
benchmark endorser
74 a person : (1) whose endorsement of a benchmark or family of benchmarks has been authorised by the FCA in accordance with article 33(3) of the benchmarks regulation ; and (2) who has not had that a…
MiFID/MiFIR Systems Regulations
As Published: 2017
MiFID/MiFIR Systems Regulations
118 MiFID RTS 7 to MiFID RTS 12 inclusive, MiFID RTS 25 and MiFID RTS 26 .
credit transfer
As Published: 2018
credit transfer
215 (in accordance with regulation 2(1) of the Payment Services Regulations ) a payment service for crediting a payee’s payment account with a payment transaction or a series of payment transactions f…
PRR 5.2 Certificate of approval [deleted]
As Published: 2019
PRR 5.2 Certificate of approval [deleted]
…
CRA Regulation
As Published: 2019
CRA Regulation
230 means the UK version of Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies (as amended by Regulation (EU) No 513/2011 of the…
eligible claimant
As Published: 2001
eligible claimant
a person who is eligible to bring a claim for compensation under COMP 4.2.1 R . 4…
payment service or electronic money promotion
As Published: 2019
payment service or electronic money promotion
180 an invitation or inducement to: (a) enter into an agreement for the provision of a payment service ; (b) initiate a payment order ; or (c) acquire electronic money , that is communicated in the co…
MiFID RTS 8
As Published: 2017
MiFID RTS 8
the UK version of 132 118 Commission Delegated Regulation (EU) 2017/578 of 13 June 2016 supplementing MiFID with regard to regulatory technical standards specifying the requirements on market making a…
tenure
As Published: 2021
tenure
100 the number of years a customer has held their policy , including any renewal . For the purposes of this definition, renewal has the same meaning as in ICOBS 6B .
LTAF retail class
As Published: 2023
LTAF retail class
101 (in COLL ) a class of units in a long-term asset fund which is sold , promoted or otherwise made available to retail clients who are not limited protection LTAF investors .
chief risk officer function
chief risk officer function
236 FCA controlled function SMF4 in the table of FCA-designated senior management functions , described more fully in SUP 10C.6A.4R .
EEA core SMCR firm
EEA core SMCR firm
142 a core SMCR firm that is an incoming EEA firm or incoming Treaty firm .
document evidencing title
As Published: 2001
document evidencing title
any means of evidencing title whether in documentary form or otherwise. 3…
entering into a regulated credit agreement as lender
As Published: 2013
entering into a regulated credit agreement as lender
87 the regulated activity specified in article 60B(1) of the Regulated Activities Order .
Solvency 2 Regulations 2015
As Published: 2021
Solvency 2 Regulations 2015
208 the Solvency 2 Regulations 2015 (SI 2015/575).
MAR 6.10 Execution price of retail client orders [deleted]
As Published: 2009
MAR 6.10 Execution price of retail client orders [deleted]
…
supplementary listing particulars
As Published: 2005
supplementary listing particulars
(in LR ) (in accordance with section 81(1) of the Act ), supplementary listing particulars containing details of the change or new matter. 34…
Financial Action Task Force
As Published: 2001
Financial Action Task Force
the inter-governmental body responsible for developing and promoting policies, both nationally and internationally, to combat money laundering. 2…
debt adjuster
As Published: 2014
debt adjuster
87 a person who has, or ought to have, a Part 4A permission to carry on the regulated activity of debt adjusting and who negotiates with a lender on behalf of a customer the terms of discharge of a de…