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sale
As Published: 2001
sale
(in COLL ) (in relation to units in an authorised fund ) the sale of units by the authorised fund manager as principal . 5…
BMR benchmark administrator
As Published: 2018
BMR benchmark administrator
74 a person who: (1) is an administrator as defined in article 3.1(6) of the benchmarks regulation (which in summary is a person who has control over the provision of a benchmark ); and (2) has been a…
accepting deposits
As Published: 2001
accepting deposits
4 the regulated activity , specified in article 5 of the Regulated Activities Order (Accepting deposits), which is in summary: accepting deposits if: (a) money received by way of deposit is lent to ot…
market value
As Published: 2001
market value
3 the market value as determined in accordance with 22 generally accepted accounting practice.
MLAR
As Published: 2004
MLAR
15 (in SUP ) a Mortgage Lending and Administration Return containing data specified in SUP 16 Annex 19A and relevant to the firm's type and regulated activities .
insolvency order
As Published: 2001
insolvency order
5 an administration order, compulsory winding up order, bankruptcy order, or sequestration order. 42…
MiFID/MiFIR requirements
As Published: 2017
MiFID/MiFIR requirements
118 any of the requirements applicable to an RIE or an applicant to become an RIE imposed by MiFIR and any formerly 132 directly applicable regulation made under MiFID or EU MiFIR , which is an onshor…
K-COH requirement
As Published: 2001
K-COH requirement
15 the part of the K-factor requirement calculated on the basis of the COH of a MIFIDPRU investment firm in accordance with MIFIDPRU 4.10 (K-COH requirement).
Great Britain
As Published: 2019
Great Britain
65 England and Wales and Scotland (but not Northern Ireland, the Channel Islands or the Isle of Man).
pawnor
As Published: 2014
pawnor
116 includes any person to whom the rights and duties of the original pawnor have passed by assignment or operation of law.
executive director function
As Published: 2018
executive director function
130 FCA controlled function SMF3 in the table of FCA-designated senior management functions , described more fully in SUP 10C.5.1R to 10C.5.12R .
credit unions day
As Published: 2005
credit unions day
37 (in relation to a Great Britain credit union ) 1 July 2002 or (in relation to a Northern Ireland credit union ) 31 March 2012. 127…
SEF manager
As Published: 2019
SEF manager
180 the manager of a qualifying social entrepreneurship fund (as defined in the SEF Regulation ) that is registered in accordance with article 15 of the SEF Regulation .
APER App 1.1 This appendix has been removed until further notice
As Published: 2011
APER App 1.1 This appendix has been removed until further notice
…
Promotion of Collective Investment Schemes Order
As Published: 2014
Promotion of Collective Investment Schemes Order
223 the Financial Services and Markets Act 2000 (Promotion of Collective Investment Schemes) (Exemptions) Order 2001.
limited liability partnership
As Published: 2001
limited liability partnership
(a) a body corporate incorporated under the Limited Liability Partnerships Act 2000; (b) a body corporate incorporated under legislation having the equivalent effect to the Limited Liability Partnersh…
listing particulars
As Published: 2005
listing particulars
(in LR and PRR 80 ) (in accordance with section 79(2) of the Act ), a document in such form and containing such information as may be specified in listing rules . 14…