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sub-pool
As Published: 2014
sub-pool
124 a discrete pool of client money established under CASS 7.19 , which after a primary pooling event includes the client money that is required to be included in the pool under CASS 7A.2.4R(1A) 164 .
comparator benchmark
As Published: 2019
comparator benchmark
232 as defined in COLL 4.2.5R(3)(c-b)(iii) .
known close associate of a politically exposed person
As Published: 2018
known close associate of a politically exposed person
13 as defined in regulation 35(12) of the Money Laundering Regulations .
MCD credit adviser
As Published: 2015
MCD credit adviser
99 a firm with permission (or which ought to have permission ) to carry on the activity, by way of business, of advising on regulated credit agreements for the acquisition of land . [Note: article 4(2…
Prospectus Regulation
As Published: 2017
Prospectus Regulation
the UK version of 178 158 Regulation (EU) No 2017/1129 of the European Parliament and of the Council of 14 June 2017 on the prospectus to be published when securities are offered to the public or admi…
Personal Insurance Arbitration Service
As Published: 2001
Personal Insurance Arbitration Service
the former scheme set up on a voluntary basis and run by the Chartered Institute of Arbitrators to handle complaints against those insurance companies which subscribed to it. 2…
dealing
As Published: 2005
dealing
24 (1) 107 (in accordance with paragraph 2 of Schedule 2 to the Act ( Regulated activities ) 107 buying, selling, subscribing for or underwriting investments or offering or agreeing to do so, either a…
port
As Published: 2012
port
in respect of the assets and positions recorded in a client transaction account that is an individual client account or an omnibus client account at an authorised central counterparty , action taken b…
alternative investment fund
As Published: 2013
alternative investment fund
154 a collective investment undertaking, including investment compartments thereof, which: (a) raises capital from a number of investors, with a view to investing it in accordance with a defined inves…
insurer
As Published: 2001
insurer
5 a firm with permission to effect 48 or carry out contracts of insurance . 159…
MTF transaction
As Published: 2007
MTF transaction
44 a transaction concluded by a firm under the rules governing an MTF with another member or participant of that MTF .
non-standard method of internal client money reconciliation
As Published: 2014
non-standard method of internal client money reconciliation
56 the method of internal client money reconciliation described in CASS 7.15.17 R . 56…
material interest
As Published: 2001
material interest
3 (in COBS 52 ) (in relation to a transaction) any interest of a material nature, other than disclosable commission on the transaction. 118 29 29 52 52…
total cost of credit to the borrower
As Published: 2013
total cost of credit to the borrower
55 (in CONC App 1.2 ) all costs, including interest, commissions, taxes and any other kind of fees which are required to be paid by, or on behalf of, the borrower or a relative of the borrower in conn…
group respondents
As Published: 2013
group respondents
85 all respondents identified as part of the relevant charging group as defined in FEES 5 Annex 3R Part 3 .
equivalent business of a third country investment firm
As Published: 2006
equivalent business of a third country investment firm
33 the business of a third country investment firm carried on from an establishment in the United Kingdom that would be MiFID business if that firm were a MiFID investment firm .
CASS large debt management firm
As Published: 2014
CASS large debt management firm
157 a CASS debt management firm falling within the classification of CASS large debt management firm in CASS 11.2.3 R .
on-demand TCFD information
As Published: 2021
on-demand TCFD information
106 an on-demand TCFD product report or underlying asset data . 114…