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MiFID RTS 14
As Published: 2017
MiFID RTS 14
the UK version of 132 118 Commission Delegated Regulation (EU) No 2017/572 of 2 June 2016 supplementing MiFIR with regard to regulatory technical standards on the specification of the offering of pre-…
FCA required functions
As Published: 2015
FCA required functions
any of the 121 FCA controlled functions labelled as FCA required functions in. 128 121 92 85 85 83 121 83 the table of FCA-designated senior management functions . 128…
primary place of business
As Published: 2018
primary place of business
167 (in relation to insurance distribution activity ) the location from where the main business is managed.
firm in run-off
As Published: 2004
firm in run-off
13 a firm whose Part 4A permission 151 has been varied so as to remove the regulated activity of effecting contracts of insurance .
money service business
As Published: 2002
money service business
carrying on by way of business the activity of: (a) operating a bureau de change; or (b) transmitting money, or any representation of monetary value, by any means; or (c) cashing cheques which are mad…
external valuer
As Published: 2013
external valuer
85 a person who performs the valuation function described in FUND 3.9.4R and 3.9.5R 137 in respect of an AIF managed by a full-scope UK AIFM , and is not the AIFM of that AIF .
announceable information
As Published: 2001
announceable information
4 information which is usually the subject of a public announcement, although not subject to any formal disclosure requirement.
credit enhancement
As Published: 2006
credit enhancement
(1) [deleted] 260 230 173 230 (2) (in MIPRU ) a contractual arrangement which improves the credit quality of a securitisation position in relation to what it would have been if the enhancement had not…
Contractual Scheme Regulations
As Published: 2013
Contractual Scheme Regulations
147 the Collective Investment in Transferable Securities (Contractual Scheme) Regulations 2013 (SI 2013/1388).
programme
As Published: 2008
programme
70 (in RCB ) (as defined in Regulation 1(2) of the RCB Regulations ) issues, or series of issues, of covered bonds which have substantially similar terms and are subject to a framework contract or con…
Swiss general insurer
As Published: 2004
Swiss general insurer
28 a Swiss general insurance company which has permission to effect or carry out contracts of insurance of a kind which is subject to the Swiss Treaty Agreement .
PSR fee payer
As Published: 2018
PSR fee payer
176 a direct payment service provider , or an operator acting as a PSR fee payer , eligible to pay a PSR fee in accordance with FEES 9.2.1R .
local authority securities
As Published: 2022
local authority securities
98 any of the following: (a) a non-readily realisable security or non-mass market investment (other than a unit in an unregulated collective investment scheme ) issued, or to be issued, by a local aut…
MiFID Delegated Directive
As Published: 2017
MiFID Delegated Directive
118 Commission Delegated Directive (EU) 2017/593 of 7 April 2016 supplementing MiFID of the European Parliament and of the Council with regard to safeguarding of financial instruments and funds belong…
premium listing (commercial company)
As Published: 2009
premium listing (commercial company)
77 a premium listing of equity shares 90 (other than those of a closed-ended investment fund 204 or of a sovereign controlled commercial company that is required to comply with the requirements in LR…
date of allotment
As Published: 2001
date of allotment
the date on which amounts of the relevant security are allotted to subscribers or purchasers and, where there is an initial or preliminary allotment subject to confirmation, the date of that initial o…