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mixed insurer
As Published: 2006
mixed insurer
35 an insurer (other than a pure reinsurer ) which carries on reinsurance business and where one or more of the following conditions is met in respect of its reinsurance acceptances: (a) the premiums…
TP person
As Published: 2019
TP person
86 (in FEES ) any of the following: (1) a TP firm ; (2) a TA EMI firm ; (3) a TA PI firm ; (4) a TA RAISP firm ; and (5) a TPR fund .
firm details
As Published: 2018
firm details
117 the information relating to a firm held by the appropriate regulator on the matters set out in SUP 16 Annex 16A .
ring-fencing implementation fee(s)
As Published: 2016
ring-fencing implementation fee(s)
165 the fee or fees in FEES 4 Annex 2BR(2) .
DISP Sch 3 Fees and other required payment
As Published: 2002
DISP Sch 3 Fees and other required payment
…
advice, investigation or representation in relation to a claim for a specified benefit
As Published: 2019
advice, investigation or representation in relation to a claim for a specified benefit
151 the regulated activity , specified in article 89K of the Regulated Activities Order , of each of advising a claimant or potential claimant , investigating a claim and representing a claimant , in…
family member of a politically exposed person
As Published: 2018
family member of a politically exposed person
116 as defined in regulation 35(12) of the Money Laundering Regulations .
administering a specified benchmark
As Published: 2013
administering a specified benchmark
98 The regulated activity , specified in article 63O(1)(b) of the Regulated Activities Order , which means: (1) administering the arrangements for determining a specified benchmark , or (2) collecting…
net position risk
As Published: 2001
net position risk
89 the value of the following positions of a MIFIDPRU investment firm : (1) trading book positions; and (2) positions other than trading book positions where such positions give rise to foreign exchan…
SFA Complaints Bureau
As Published: 2001
SFA Complaints Bureau
the first stage of the SFA scheme , which aimed to resolve complaints by conciliation. 1…
projected pension fund value
As Published: 2022
projected pension fund value
214 an estimate of the value of a relevant pension scheme member’s accrued rights at their retirement date , expressed as a single amount.
restricted advice
As Published: 2010
restricted advice
85 (a) a personal recommendation to a client 172 which is not independent advice ; or (b) basic advice .
EMPS Ann 1 These provisions have been moved to the Supervision Manual (SUP 21).
As Published: 2001
EMPS Ann 1 These provisions have been moved to the Supervision Manual (SUP 21).
…
primary information provider
As Published: 2013
primary information provider
105 a person approved by the FCA under section 89P of the Act .
large business customer
As Published: 2003
large business customer
7 (in relation to a regulated mortgage contract or qualifying credit , and in relation to an activity to be carried on by a firm ) a client , if the credit is for the purposes of a business which has…
offer document
As Published: 2003
offer document
9 (in MCOB ) a document in which the home finance provider 26 offers to enter into a home finance transaction 26 with a customer .
notice of discontinuance
As Published: 2001
notice of discontinuance
a notice given by the appropriate regulator 103 in accordance with section 389 of the Act (Notices of discontinuance) which states that the appropriate regulator 103 has decided not to take the action…
large ACS investor
As Published: 2013
large ACS investor
49 in relation to an ACS , a person who in exchange for units in the scheme : (a) makes a payment of not less than £1,000,000; or (b) contributes property with a value of not less than £1,000,000.
sub-group
As Published: 2002
sub-group
(in relation to a person ): 23 (a) that person ; and (b) any person that is either: (i) a subsidiary undertaking of that person ; or (ii) an undertaking in which that person or a subsidiary undertakin…
BNPL credit
As Published: 2019
BNPL credit
credit in relation to which provision is made that: (1) (a) no, or reduced, interest or charges are payable by the borrower in respect of an initial period of 56 days or more (“the promotional period”…