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end client
As Published: 2017
end client
119 the person or group of persons at the end of the supply chain.
information society service
As Published: 2002
information society service
62 an information society service, as defined by article 2(a) of the E-Commerce Directive and article 1(2) of the Technical Standards and Regulations Directive (98/34/EC), which is in summary any serv…
non-threshold short-term loan firm
As Published: 2024
non-threshold short-term loan firm
101 a firm which: (a) has permission to enter into a regulated credit agreement as lender in respect of: (i) high-cost short-term credit ; (ii) home credit loan agreements ; or (iii) both high-cost sh…
state monopoly
As Published: 2005
state monopoly
30 a company or other legal person which is a national of a state 180 and which: (a) in carrying on its business benefits from a monopoly right granted by a state 180 ; and (b) is set up by or pursuan…
Consumer Panel
As Published: 2001
Consumer Panel
the panel of persons which section 1Q 284 of the Act (The Consumer Panel) requires the FCA 284 to establish and maintain, as part of its arrangements for consultation under section 1M 284 , to represe…
relevant time period
As Published: 2015
relevant time period
153 for each payment system 191 listed in column 1 of the table in 191 FEES 9 Annex 1R , the time period or date specified for that payment system 191 in column 3 of the table 191 .
pensions dashboard matching criteria
As Published: 2022
pensions dashboard matching criteria
214 the criteria selected by a firm in accordance with COBS 19.11.9R to carry out its pensions dashboard matching process .
capital account
As Published: 2001
capital account
(in COLL ) an account relating to the capital property of an authorised fund . 3 20…
FCA MDP on-boarding application form
As Published: 2017
FCA MDP on-boarding application form
107 a form for approval to connect to the FCA’s market data processor system .
drawdown mortgage
As Published: 2003
drawdown mortgage
12 a lifetime mortgage contract where: (a) the amount borrowed is paid by the mortgage lender to the customer in instalments during the life of the mortgage; and (b) the size and frequency of the inst…
technical provision
As Published: 2001
technical provision
(a) (for a firm which is not a Solvency II firm ) a technical provision established in accordance with the Insurance Company – Technical Provisions part of the PRA Rulebook. 72 65 (b) (for a Solvency…
threshold condition
As Published: 2001
threshold condition
(in relation to a regulated activity ) any of the conditions set out in or under Schedule 6 to the Act (Threshold conditions), including the additional conditions in the Financial Services and Markets…
relevant sovereign debt
As Published: 2019
relevant sovereign debt
197 a debt issuance, issued by or on behalf of: (a) the government of the United Kingdom ; (b) the Scottish Administration; (c) the Executive Committee of the Northern Ireland Assembly; (d) the Nation…
regulatory costs
As Published: 2003
regulatory costs
the periodic fees payable to the FCA 177 by a participant firm in accordance with FEES 4 (Periodic fees) 36 .
Distance Marketing Regulations
As Published: 2003
Distance Marketing Regulations
12 17 The Financial Services (Distance Marketing) Regulations 2004 (SI 2004/2095). 19…
client money resource
As Published: 2014
client money resource
166 the aggregate balance on the firm's client bank accounts (see CASS 7.16.8 R ).
SUP 16 Annex 34B Guidance notes for data items in SUP 16 Annex 34AR [deleted]
As Published: 2012
SUP 16 Annex 34B Guidance notes for data items in SUP 16 Annex 34AR [deleted]
…
housing disrepair claim
As Published: 2019
housing disrepair claim
44 a claim of the description specified in article 89F(2)(e) of the Regulated Activities Order .