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designated State or territory
As Published: 2001
designated State or territory
any EEA State (other than the United Kingdom ), Australia, Canada or a province of Canada, Hong Kong, Singapore, South Africa, Switzerland, a State in the United States of America, the District of Col…
K-AUM requirement
As Published: 2001
K-AUM requirement
15 the part of the K-factor requirement calculated on the basis of the AUM of a MIFIDPRU investment firm in accordance with MIFIDPRU 4.7 (K-AUM requirement).
card payment system
As Published: 2015
card payment system
185 a regulated payment system that enables a holder of a payment card to effect a payment.
CASS large debt management firm external client money reconciliation
As Published: 2014
CASS large debt management firm external client money reconciliation
157 the external client money reconciliation that CASS large debt management firms are obliged to undertake pursuant to CASS 11.11.25 R to CASS 11.11.26 R .
payment service user
As Published: 2009
payment service user
71 226 (in accordance with regulation 2(1) of the Payment Services Regulations ) a person when making use of a payment service in the capacity of payer , payee 159 , or both. [Note: article 4(10) of t…
risk capital margin
As Published: 2004
risk capital margin
29 the risk capital margin for a with-profits fund calculated in accordance with the rules in INSPRU 1.3.43R to INSPRU 1.3.103G 46 .
cross-transaction
As Published: 2001
cross-transaction
(a) a transaction by which a person matches, at the same price and on the same terms, the buy and sell orders of two or more persons for whom he is acting as agent; (b) a transaction to which only one…
CTF Regulations
As Published: 2004
CTF Regulations
24 the Child Trust Funds Regulations 2004 (SI 2004/1450).
cashback
As Published: 2003
cashback
14 (in MCOB ) a cash amount paid by a mortgage lender to a customer (typically at the beginning of a contract) as an inducement to enter into a regulated mortgage contract with the mortgage lender .
benchmark administrator
As Published: 2013
benchmark administrator
a 68 person who has authorisation to carry on 68 the regulated activity of administering a specified benchmark .
MaPS pensions dashboard service
As Published: 2022
MaPS pensions dashboard service
159 an electronic communications service provided by MaPS : (a) by means of which information about pensions may be requested by, and provided to, a relevant pension scheme member or a person authoris…
unregulated activity
As Published: 2001
unregulated activity
an activity which is not a regulated activity . 2…
ECD Regulations
As Published: 2002
ECD Regulations
6 the Electronic Commerce Directive (Financial Services and Markets) Regulations 2002 (SI 2002/1775).
profit estimate
As Published: 2005
profit estimate
(in PR and LR ) (as defined in the PR Regulation 185 ) a profit forecast for a financial period which has expired and for which results have not yet been published. 30…
not-for-profit body
As Published: 2013
not-for-profit body
52 a body which by virtue of its constitution or any enactment: (a) is required (after payment of outgoings) to apply the whole of its income, and any capital which it expends, for charitable or publi…
specific costs levy
As Published: 2001
specific costs levy
a levy, forming part of the management expenses levy , to meet the specific costs in the financial year of the compensation scheme to which the levy relates, each participant firm's share being calcul…
Market Definition RTS
As Published: 2021
Market Definition RTS
153 Part 1 (FCA) of the UK version of Regulation (EU) 525/2014 of 12 March 2014 supplementing Regulation (EU) No 575/2013 of the European Parliament and of the Council with regard to regulatory techni…
home purchase provider
As Published: 2006
home purchase provider
8 a firm with permission (or which ought to have permission ) for entering into a home purchase plan .
debt management client money distribution rules
As Published: 2014
debt management client money distribution rules
87 the rules and guidance in CASS 11.13 .