Search Result
key individual
As Published: 2001
key individual
12 (in relation to a UK recognised body ): (a) its chairman or president; (b) its chief executive ; (c) a member of its governing body ; (d) a person who, alone or jointly with one or more others, is…
fixed-term savings account
As Published: 2015
fixed-term savings account
91 a savings account where it is agreed that money is to be held in the account for a specified period and the customer is not permitted to withdraw the money before the expiry of that period, is rest…
home purchase intermediary
As Published: 2006
home purchase intermediary
8 a firm with permission (or which ought to have permission ) to carry on a home purchase mediation activity .
FSBRA
As Published: 2015
FSBRA
79 101 the Financial Services (Banking Reform) Act 2013 (2013 c.33) 101 .
non-PRIIP packaged product
As Published: 2017
non-PRIIP packaged product
72 a packaged product other than a packaged retail and insurance-based investment product ( PRIIP ).
treasury shares
As Published: 2005
treasury shares
shares which meet the conditions set out in paragraphs (a) and (b) of subsection 724(5) of the Companies Act 2006. 38…
defined benefit liability
As Published: 2005
defined benefit liability
the shortfall of the value of the assets in a defined benefit occupational pension scheme below the present value of the scheme liabilities, to the extent that a firm , as employer, in accordance with…
dealing on own account
As Published: 2007
dealing on own account
39 trading against proprietary capital resulting in the conclusion of transactions in one or more financial instruments . [Note: article 2(1)(5) of MiFIR ] 124…
TD implementing Directive
As Published: 2006
TD implementing Directive
28 Commission Directive implementing Directive 2004/109/EC of the European Parliament and of the Council laying down rules for the harmonisation of transparency requirements in relation to information…
RVECA Regulation
As Published: 2019
RVECA Regulation
192 the UK version of Regulation (EU) No 345/2013 of the European Parliament and the Council of 17 April 2013 on European venture capital funds, which is part of UK law by virtue of the EUWA .
funeral plan intermediary
As Published: 2022
funeral plan intermediary
137 a firm carrying on funeral plan distribution other than a funeral plan provider .
period rate of charge
As Published: 2013
period rate of charge
111 (in CONC App 1.1 ) means a percentage rate of charge for a period, comprising all charges included in the total charge for credit determined in accordance with CONC App 1.1.4 R to CONC App 1.1.6 R…
mineral expert's report
As Published: 2005
mineral expert's report
(in LR ) a competent person's 93 report prepared in accordance with 93 paragraph 133 of section III.2 of the technical note on PR disclosure and specialist issuers 156 . 28…
certificate representing debt securities
As Published: 2005
certificate representing debt securities
(in LR ) a certificate representing certain securities where the certificate or other instrument confers rights in respect of debentures , alternative debentures , 112 or government and public securit…
authorised non-business overdraft agreement
As Published: 2014
authorised non-business overdraft agreement
107 a borrower-lender agreement which provides authorisation in advance for the borrower to overdraw on a current account, where: (a) the credit must be repaid on demand or within three months; (b) th…
Second Non-Life Directive
As Published: 2001
Second Non-Life Directive
the Council Directive of 22 June 1988 on the coordination of laws, etc and laying down provisions to facilitate the effective exercise of freedom to provide services and amending Directive 73/239/EEC…
person
As Published: 2001
person
(in accordance with the Interpretation Act 1978) any person, including a body of persons corporate or unincorporate (that is, a natural person, a legal person and, for example, a partnership ). 5…
EU-adopted IFRS
As Published: 2019
EU-adopted IFRS
137 EU-adopted International Financial Reporting Standards…