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employee benefit consultant
As Published: 2010
employee benefit consultant
65 a person that gives advice, or provides services to, an employer in connection with a group personal pension scheme or group stakeholder pension scheme provided, or to be provided, by the employer…
signpost data
As Published: 2022
signpost data
215 (in relation to pensions dashboard view data ) information comprising: (a) information on member-borne costs and charges; and (b) (where relevant) the IGC's or GAA's annual report produced under C…
statutory notice
As Published: 2001
statutory notice
a warning notice , decision notice or supervisory notice . 5…
specified weighted voting rights shares
As Published: 2021
specified weighted voting rights shares
210 has the meaning given to it in LR 9.2.22CR .
maxi-ISA
As Published: 2001
maxi-ISA
3 an ISA which includes a stocks and shares component and may also include other qualifying investments such as: (a) a cash component ; (b) an insurance component ; as prescribed in paragraphs 7, 8 an…
UCITS management company
As Published: 2003
UCITS management company
(1) (except in relation to MiFID business ) 20 a firm which is either: (a) a UCITS firm ; or (b) a UCITS investment firm . 7 (2) (in relation to MiFID business ) a management company 81 . [Note: artic…
own funds threshold requirement
As Published: 2001
own funds threshold requirement
104 the amount of own funds that a firm needs to hold to comply with the overall financial adequacy rule .
excluded custody activities
As Published: 2014
excluded custody activities
96 any activities of a firm which: (a) are carried on in connection with, or for the purposes of, managing a UK UCITS 137 or an AIF (as the case may be); and (b) would amount to safeguarding and admin…
trading scheme order 2020
As Published: 2021
trading scheme order 2020
99 the Greenhouse Gas Emissions Trading Scheme Order 2020.
hybrid pension benefit
As Published: 2022
hybrid pension benefit
55 a benefit the rate or amount of which depends on which of two or more alternative methods of calculation produces the highest, or lowest, rate or amount.
market making strategy
As Published: 2018
market making strategy
126 a strategy undertaken by a person where: (a) the person is a member or participant of one or more trading venues ; (b) the person’s strategy, when dealing on own account , involves posting firm, s…
SNI MIFIDPRU investment firm
As Published: 2001
SNI MIFIDPRU investment firm
205 a MIFIDPRU investment firm that is classified as an SNI MIFIDPRU investment firm in accordance with MIFIDPRU 1.2 .
property authorised investment fund
As Published: 2008
property authorised investment fund
an open-ended investment company to which Part 4A of the Authorised Investment Funds (Tax) Regulations 2006 (SI 2006/964) applies. 65…
circular
As Published: 2005
circular
(in LR ) any document issued to holders of listed securities including notices of meetings but excluding prospectuses , listing particulars , annual reports and accounts, interim reports, proxy cards…
money purchase scheme
As Published: 2007
money purchase scheme
(1) (except in COBS 19.11 ) 159 in relation to a director , means a pension scheme under which all of the benefits that may become payable to or in respect of the director are money purchase benefits.