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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…
total amount payable
As Published: 2003
total amount payable
58 (1) (except in CONC or MCOB ) the total charge for credit plus the total amount of credit advanced. 58 (2) (in CONC ) the sum of the total charge for credit and the total amount of credit payable u…
Insurance Ombudsman scheme
As Published: 2001
Insurance Ombudsman scheme
the former scheme set up, on a voluntary basis, to handle complaints against those insurance companies which subscribed to it. 1…
management expenses levy
As Published: 2001
management expenses levy
a levy imposed by the FSCS on participant firms to meet the management expenses and which is made up of one or more of a base cost levy and 53 a specific costs levy , each participant firm's share bei…
third country reinsurance undertaking
As Published: 2021
third country reinsurance undertaking
104 a third country insurance undertaking as defined in regulation 2 of the Solvency 2 Regulations 2015 .
own-initiative powers
As Published: 2022
own-initiative powers
the 107 117 FCA's or the PRA's own-initiative variation power and own-initiative requirement power , which powers are supplemented, in respect of FCA-authorised persons , by the FCA’s additional own-i…
entering into a regulated consumer hire agreement as owner
As Published: 2013
entering into a regulated consumer hire agreement as owner
87 the regulated activity specified in article 60N(1) of the Regulated Activities Order .
MAR 6.11 Execution price of professional client orders [deleted]
As Published: 2017
MAR 6.11 Execution price of professional client orders [deleted]
…
director of unincorporated association function
As Published: 2001
director of unincorporated association function
108 FCA controlled function CF5 in 122 the table of FCA controlled functions , described more fully in SUP 10A.6.29 R .
IDD POG Regulation
As Published: 2018
IDD POG Regulation
192 160 Commission Delegated Regulation (EU) 2017/2358 of 21 September 2017, supplementing the IDD of the European Parliament and of the Council with regard to product oversight and governance require…
supplementary prospectus
As Published: 2005
supplementary prospectus
(in Part 6 rules ) a supplementary prospectus containing details of a new factor, mistake or inaccuracy. 34…
debt collector
As Published: 2014
debt collector
87 a person who has, or ought to have, a Part 4A permission to carry on the regulated activity of debt adjusting and who takes steps to procure payment of debts due under credit agreements or consumer…
consumer-facing disclosure
As Published: 2023
consumer-facing disclosure
275 a disclosure produced under ESG 5.2 in respect of a sustainability product .
authorised insurance company
As Published: 2006
authorised insurance company
40 (In COMP ) (in accordance with the compensation transitionals order ) a person who was, at any time before commencement , authorised under section 3 or 4 of the Insurance Companies Act 1982 to carr…
automatic enrolment scheme
As Published: 2011
automatic enrolment scheme
76 a scheme that meets the conditions in Part 1 of the Pensions Act 2008. In summary this is a qualifying occupational pension scheme or qualifying personal pension scheme that enables automatic enrol…
trade receivables
As Published: 2001
trade receivables
103 receivables from trade debtors (including fees or commissions).
IPA eligible investment
As Published: 2001
IPA eligible investment
a type of investment specified in regulation 2(2) (condition 5) of the Stamp Duty and Stamp Duty Reserve Tax (Definition of Unit Trust Scheme and Open-ended Investment Company) Regulations 2001 (SI 20…