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normally resident
As Published: 2003
normally resident
6 (in MCOB ) normally resident; for the purposes of this definition: (a) an individual (whether or not acting as trustee) is to be treated as normally resident in the country which he indicates is his…
MiFID
As Published: 2006
MiFID
Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending the Insurance Mediation Directive and AIFMD 118 170 .
CASS medium TP firm
As Published: 2019
CASS medium TP firm
230 has the meaning in CASS 14.2.8R (CASS firm types).
approve
As Published: 2001
approve
4 (in relation to a financial promotion ) approve the content of the financial promotion for the purposes of section 21 of the Act (Restrictions on financial promotion).
SRB adviser
As Published: 2009
SRB adviser
78 a firm which carries on the regulated activity of advising on a regulated sale and rent back agreement .
standardised deterministic projection
As Published: 2007
standardised deterministic projection
61 a projection which is either a generic projection or a personal projection produced in accordance with the assumptions contained in COBS 13 Annex 2 .
Investment Ombudsman
As Published: 2001
Investment Ombudsman
the former Ombudsman under the IMRO scheme . 1…
registered friendly society
As Published: 2001
registered friendly society
a friendly society registered under section 7(1)(a) of the Friendly Societies Act 1974 or any enactment which it replaced, including any registered branches. 5…
high net worth illustration
As Published: 2012
high net worth illustration
28 an illustration for a regulated mortgage contract to a high net worth mortgage customer .
tender offer
As Published: 2005
tender offer
(in LR ) an offer by a company to purchase all or some of a class of its listed equity securities at a maximum or fixed price (that may be established by means of a formula) that is: (a) communicated…
2015 Interchange Regulations
As Published: 2016
2015 Interchange Regulations
129 (in FEES 9) The Payment Card Interchange Fee Regulations 2015 (SI 2015/1911).
net open foreign currency position
As Published: 2009
net open foreign currency position
[deleted] 63…
callable contribution
As Published: 2004
callable contribution
18 amounts that members are liable to pay to the Society (or may by resolution of the Society be liable to pay) as contributions to the Central Fund .
scope of basic advice
As Published: 2007
scope of basic advice
57 the basis on which a firm gives basic advice on stakeholder products , that is, with reference to the stakeholder products of one, or more than one, stakeholder product provider.
limited permission
As Published: 2013
limited permission
51 a Part 4A permission for a relevant credit activity as defined in paragraph 2G of Schedule 6 to the Act (guidance on which is given in COND 1.1A.5A G ) 56 .