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Principles and Practices of Financial Management
As Published: 2003
Principles and Practices of Financial Management
10 the Principles and Practices of Financial Management, containing with-profits principles and with-profits practices , 52 which a firm carrying on with-profits business must establish, maintain and…
MCD credit intermediary
As Published: 2015
MCD credit intermediary
99 an MCD mortgage credit intermediary or an MCD article 3(1)(b) credit intermediary . [Note: article 4(5) and (21) of the MCD ]…
flexi-access drawdown pension fund
As Published: 2019
flexi-access drawdown pension fund
129 131 in accordance with paragraph 8A of schedule 28 to the Finance Act 2004, sums or assets held in a personal pension scheme or stakeholder pension scheme and designated as available for the payme…
UK financial system
As Published: 2010
UK financial system
38 (as defined in section 1I of the Act (Meaning of "the UK financial system" 97 )) the financial system operating in the United Kingdom including: (a) financial markets and exchanges; (b) regulated a…
AIFMD BTS
As Published: 2019
AIFMD BTS
154 means the UK version of Commission Delegated Regulation (EU) No. 694/2014 supplementing Directive 2011/61/EU of the European Parliament and of the Council with regard to regulatory technical stand…
third country firm
As Published: 2017
third country firm
79 (in SYSC ) either: (a) a third country investment firm ; or (b) the UK branch of a non-UK bank 86 .
reversion arranger
As Published: 2006
reversion arranger
42 a firm with permission (or which ought to have permission ) for arranging a home reversion plan .
listed activity
As Published: 2001
listed activity
55 an activity listed in the Annex 1 Activities 79 .
Prospectus Directive
As Published: 2005
Prospectus Directive
27 the Directive of the European Parliament and of the Council of 4 November 2003 on the prospectus to be published when securities are offered to the public or admitted to trading (No 2003/71/EC).
work-related insurance
As Published: 2010
work-related insurance
18 work-related insurance, including: (a) life assurance; (b) long term disability insurance (also known as permanent health insurance); and (c) accidental death, injury, critical illness, medical, de…
Funeral Plans Order
As Published: 2022
Funeral Plans Order
137 the Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2021 (SI 2021/90).
scientific research based company
As Published: 2005
scientific research based company
(in LR ) a company primarily involved in the laboratory research and development of chemical or biological products or processes or any other similar innovative science based company. 34…
reasonable assurance engagement
As Published: 2011
reasonable assurance engagement
164 a 'reasonable assurance engagement' as described in the Glossary of terms in Financial Reporting Council: Audit and Assurance: Standards and Guidance 2014.
third country issuer
As Published: 2007
third country issuer
29 an issuer which does not have its registered office in the EEA . 40 [Note: article 2(4) of the MiFID Regulation ]…
PIA Ombudsman scheme
As Published: 2001
PIA Ombudsman scheme
5 the former scheme set up by PIA under the Financial Services Act 1986 and operated by the PIA Ombudsman Bureau Ltd to handle complaints against members of PIA .
EU-adopted international accounting standards
As Published: 2019
EU-adopted international accounting standards
137 means the international accounting standards, within the meaning of EC Regulation No. 1606/2002 of the European Parliament and of the Council of 19 July 2002 on the application of international ac…
Third Non-Life Directive
As Published: 2001
Third Non-Life Directive
the Council Directive of 18 June 1992 on the coordination of laws, etc, and amending Directives 73/239/EEC and 88/357/EEC (No 92/49/EEC). 3…
non-UCITS retail scheme
As Published: 2004
non-UCITS retail scheme
an authorised fund which is not 90 a UCITS scheme , 90 a qualified investor scheme or a long-term asset fund 90 .