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total group tier one capital
As Published: 2004
total group tier one capital
14 the sum calculated at stage A of the calculation in INSPRU 6.1.43R 26 .
category
As Published: 2018
category
222 a category of participant firms within a class : see FEES 6 Annex 3AR .
customer order
As Published: 2001
customer order
(a) an order to a firm from a customer to execute a transaction as agent; (b) any other order to a firm from a customer to execute a transaction in circumstances giving rise to duties similar to those…
cryptoasset business
As Published: 2020
cryptoasset business
239 as defined in the Money Laundering Regulations .
inter-professional business
As Published: 2001
inter-professional business
(for the purposes only of COBS TP 1 (Transitional Provisions in relation to Client Categorisation)) business which comes within the meaning of 'inter-professional business' as defined in COB on 31 Oct…
intermediaries offer
As Published: 2001
intermediaries offer
(1) (in LR ) a marketing of securities already or not yet in issue, by means of an offer by, or on behalf of, the issuer to intermediaries for them to allocate to their own clients. 36 (2) [deleted] 1…
large mutual association
As Published: 2001
large mutual association
69 (1) (in COMP ) an unincorporated mutual association or unincorporated association (which is not a mutual association) with net assets of more than £1.4 million (or its equivalent in any other curre…
default option
As Published: 2022
default option
151 an investment or group of investments offered for inclusion in a non-workplace pension and designed to meet the needs, objectives and characteristics of a typical non-advised client in the target…
home territory
As Published: 2001
home territory
1 (in relation to an overseas investment exchange ) the country or territory in which its head office is situated.
store card
As Published: 2001
store card
a card restricted to paying for goods or services from a particular supplier or group of suppliers and where the price of the goods or services is paid directly to the supplier or group of suppliers b…
regulatory provisions
As Published: 2001
regulatory provisions
227 any rules, guidance, arrangements or policy issued by the investment exchange in connection with its business as an investment exchange or in connection with the provision by it of clearing facili…
registration document
As Published: 2005
registration document
(in Part 6 rules and COBS 11A 178 ) a registration document referred to in article 6(3) of the Prospectus Regulation 198 .
cryptoasset derivative
As Published: 2020
cryptoasset derivative
244 247 a derivative where the underlying is, or includes, an unregulated transferable cryptoasset or an index or derivative relating to an unregulated transferable cryptoasset .
enhanced reporting investment
As Published: 2017
enhanced reporting investment
122 any investment subject to a restriction on retail distribution under the FCA’s rules , as summarised in COBS 9.3.5G(1) .
retail premium finance
As Published: 2021
retail premium finance
206 a credit agreement (whether a regulated credit agreement or not) entered into with a view to its use, by a customer who is a consumer , to finance all or part of the premium for a non-investment i…
net written premiums
As Published: 2004
net written premiums
13 gross written premiums , less reinsurance premiums payable under reinsurance ceded.
property-linked assets
As Published: 2007
property-linked assets
59 in relation to an insurer , long-term insurance assets that are, for the time being, identified in the records of the insurer as being assets by reference to the value of which property-linked bene…
customer’s best interests rule
As Published: 2018
customer’s best interests rule
(1) (in relation to regulated funeral plan activity ) FPCOB 2.1.2R . 254 (2) (for all other purposes) ICOBS 2.5.-1R . 254…