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advice, investigation or representation in relation to a criminal injury claim
As Published: 2019
advice, investigation or representation in relation to a criminal injury claim
151 the regulated activity , specified in article 89L of the Regulated Activities Order , of each of advising a claimant or potential claimant , investigating a claim and representing a claimant , in…
hybrid meeting
As Published: 2024
hybrid meeting
60 (in COLL 4 ) has the meaning given in COLL 4.4.1AR(2) .
projected pension pot value
As Published: 2022
projected pension pot value
214 an estimate of the value of a relevant pension scheme member’s pension benefits at their retirement date expressed as a single amount.
SUP 16 Annex 35A Close Links Monthly Report
As Published: 2013
SUP 16 Annex 35A Close Links Monthly Report
…
CONRED 2 Annex 8 Initial letter requesting information/enclosing questionnaire
As Published: 2013
CONRED 2 Annex 8 Initial letter requesting information/enclosing questionnaire
…
stocks and shares component
As Published: 2001
stocks and shares component
a qualifying investment as prescribed in paragraph 7 of the ISA Regulations . 5…
FCA candidate
As Published: 2013
FCA candidate
149 a person in respect of whom an application is made for approval under section 59 of the Act (Approval for particular arrangements) of the performance of an FCA controlled function .
EU auction regulation
As Published: 2019
EU auction regulation
137 the EU version of Regulation (EU) No. 1031/2010 of 12 November 2010 on the timing, administration and other aspects of auctioning of greenhouse gas emission allowances pursuant to Directive 2003/8…
regulated sale and rent back mediation activity
As Published: 2009
regulated sale and rent back mediation activity
76 any of the following regulated activities : (a) arranging (bringing about) regulated sale and rent back agreements (article 25E(1)); (b) making arrangements with a view to regulated sale and rent b…
new funeral plan
As Published: 2022
new funeral plan
88 a funeral plan contract entered into on or after 29 July 2022.
BNPL payment condition
As Published: 2019
BNPL payment condition
a provision in a BNPL agreement that has the effect described in (1)(a) or (2) of the definition of BNPL credit .
home finance providing activity
As Published: 2006
home finance providing activity
8 any of the regulated activities of: (a) entering into a regulated mortgage contract ; (aa) entering into a regulated sale and rent back agreement ; 19 (b) entering into a home purchase plan ; (c) en…
SRB intermediary
As Published: 2010
SRB intermediary
89 a firm with permission (or which ought to have permission ) to carry on a regulated sale and rent back mediation activity .
MiFID RTS 27
As Published: 2017
MiFID RTS 27
the UK version of 132 118 Commission Delegated Regulation (EU) 2017/575 of 8 June 2016 supplementing MiFID with regard to regulatory technical standards for the data to be provided by execution venues…
participation
As Published: 2004
participation
114 (1) [deleted] 205 118 122 (2) 205 has the meaning in article 4(1)(35) of the UK CRR 178 .
investment advice
As Published: 2017
investment advice
150 the provision of personal recommendations to a client , either upon the client’s request or at the initiative of the firm , in respect of one or more transactions relating to designated investment…
over the counter
As Published: 2001
over the counter
(in relation to a transaction in an investment ) not on-exchange . 4…
third-country competent authority
As Published: 2004
third-country competent authority
13 the authority of a country or territory which is not the United Kingdom 86 that is empowered by law or regulation to supervise (whether on an individual or group-wide basis) regulated entities .
flat-fee charge
As Published: 2015
flat-fee charge
88 a charge used by an operator of a qualifying scheme which is a specified charge for a period of time and which is not calculated by reference to member's contributions or accrued rights.