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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 107 121 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…
listing particulars
As Published: 2005
listing particulars
(in UKLR 105 and PRR 80 ) (in accordance with section 79(2) of the Act ), a document in such form and containing such information as may be specified in listing rules . 14…
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…
institutional linked policyholders
As Published: 2007
institutional linked policyholders
67 in relation to permitted links , linked policyholders who are trustees of a defined benefit occupational pension scheme .
motor vehicle liability insurer
As Published: 2004
motor vehicle liability insurer
(a) a firm with permission to carry on motor vehicle liability insurance business ; (b) any person carrying on the regulated activity of managing the underwriting capacity of a Lloyd's syndicate in re…
procuration fee
As Published: 2003
procuration fee
14 the total amount paid by a home finance provider 39 to a home finance intermediary 39 , whether directly or indirectly, in connection with providing applications from customers to enter into home f…
physical asset reconciliation
As Published: 2014
physical asset reconciliation
119 the safe custody assets reconciliation described in CASS 6.6.24 R , using either the total count method or the rolling stock method .