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Investor Compensation Directive
As Published: 2001
Investor Compensation Directive
the Council Directive of 3 March 1997 on investor compensation schemes (No 97/9/EC). 5…
takeover bid
As Published: 2001
takeover bid
an offer, as the term is used in the Takeover Code , or any other similar conduct governed by that code. 3…
annual percentage rate
As Published: 2003
annual percentage rate
9 the annual percentage rate of charge for a contract as calculated in accordance with MCOB 10 (Annual percentage rate).
establishing, operating or winding up a stakeholder pension scheme
As Published: 2001
establishing, operating or winding up a stakeholder pension scheme
the regulated activity , specified in article 52 (a) 30 of the Regulated Activities Order (Establishing etc. a pension scheme), of establishing, operating or winding up a stakeholder pension scheme .
Central Fund
As Published: 2001
Central Fund
the Central Fund established under Lloyd's Central Fund Byelaw (No 4 of 1986) and the New Central Fund established under Lloyd's New Central Fund Byelaw (No 23 of 1996). 3…
managing a UK UCITS
As Published: 2019
managing a UK UCITS
132 the regulated activity , specified in article 51ZA of the Regulated Activities Order of carrying on collective portfolio management within the meaning of the UCITS Directive , in relation to a UK…
UK SMCR firm
As Published: 2018
UK SMCR firm
78 (a) a UK SMCR banking firm ; or (b) any other SMCR firm that is a UK domestic firm .
SUP 16 Annex 33A Remuneration Benchmarking Information Report [deleted]
As Published: 2012
SUP 16 Annex 33A Remuneration Benchmarking Information Report [deleted]
…
own account transaction
As Published: 2001
own account transaction
a transaction executed by the firm for its own benefit or for the benefit of its associate . 4…
client orders handled
As Published: 2001
client orders handled
256 (in MIFIDPRU ) the value of orders, as calculated in accordance with the rules in MIFIDPRU 4.10 (K-COH requirement), that a firm handles for clients when providing the following services, where th…
arranging (bringing about) a home reversion plan
As Published: 2006
arranging (bringing about) a home reversion plan
32 the regulated activity , specified in article 25B(1) of the Regulated Activities Order , which is in summary: making arrangements for another person to: (a) enter into a home reversion plan as reve…
lifetime ISA
As Published: 2017
lifetime ISA
72 an individual savings account as prescribed in regulation 4(1ZB) of the ISA Regulations .
plan investor
As Published: 2001
plan investor
5 a person entered in the plan register under COLL 6.4.9 R (Plan registers). 17…
liquid assets wind-down trigger
As Published: 2001
liquid assets wind-down trigger
89 an amount of liquid assets that is equal to: (1) a firm’s basic liquid assets requirement ; or (2) another amount specified by the FCA in a requirement imposed on a firm .
claims management client money distribution rules
As Published: 2019
claims management client money distribution rules
228 the rules and guidance in CASS 13.11 .
overseas SMCR banking firm
As Published: 2019
overseas SMCR banking firm
96 a firm identified as an overseas banking firm in the decision tree in SYSC 23 Annex 1 (Definition of SMCR firm and different types of SMCR firms) and Part Four of that Annex.
retirement annuity
As Published: 2001
retirement annuity
an individual pension policy effected before 1 July 1988 53 by a self-employed person or a person in non-pensionable employment which was 53 approved under Chapter III, Part XIV of the Income and Corp…
Part 30 exemption order
As Published: 2001
Part 30 exemption order
the order under regulation 30.10 of the General Regulations under the US Commodity Exchange Act issued by the Commodity Futures Trading Commission on 10 October 2003 (consolidating and updating relief…