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conduct risk oversight (Lloyd’s) function
As Published: 2018
conduct risk oversight (Lloyd’s) function
227 FCA controlled function SMF23b in the table of FCA-designated senior management functions , described more fully in SUP 10C.6.4R .
UNFCOG
As Published: 2007
UNFCOG
24 the Unfair Contract Terms and Consumer Notices 63 Regulatory Guide.
COLL 4 Annex 2 Portfolio turnover calculation [deleted]
As Published: 2007
COLL 4 Annex 2 Portfolio turnover calculation [deleted]
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non-discretionary management agreement
As Published: 2001
non-discretionary management agreement
an agreement for the non-discretionary management of investments : (a) under which the firm agrees to conduct a regular review of the suitability of the client's account or portfolio, based on an asse…
supervisory authority
As Published: 2013
supervisory authority
118 (1) (for a non-UK AIF 180 ) the national authority or authorities of the State 180 empowered by law or regulation to supervise AIFs in that State 180 . [Note: article 4(1)(al) of AIFMD ] 180 (2) 1…
common platform requirements on financial crime
As Published: 2006
common platform requirements on financial crime
the requirements on financial crime applicable to common platform firms set out in 56 47 SYSC 6.3 .
MCD article 3(1)(b) credit intermediation activity
As Published: 2015
MCD article 3(1)(b) credit intermediation activity
99 the activity of acting as an MCD article 3(1)(b) credit intermediary . [Note: article 4(5) and (21) of the MCD ]…
margined contract
As Published: 2001
margined contract
3 16 (in COLL , 44 CASS 4 and CASS 7 44 ) any contract in derivatives .
rule
As Published: 2001
rule
(in accordance with section 417(1) of the Act (Definitions)) a rule made by the FCA or the PRA 228 under the Act (including as applied by the Payment Services Regulations and the Electronic Money Regu…
ex-section 43 lead regulated firm
As Published: 2001
ex-section 43 lead regulated firm
an ex-section 43 firm for which the FSA (in its capacity as the regulatory body under section 43 of the Financial Services Act 1986) was lead regulator for financial supervision purposes, and that was…
CASS debt management firm
As Published: 2014
CASS debt management firm
157 a firm which: (a) carries on the activities of debt counselling or debt adjusting , alone or together, with a view to an individual entering into a particular debt solution ; or (b) carries on the…
sustainability objective
As Published: 2023
sustainability objective
218 a statement of intention to undertake activities with the aim of directly or indirectly improving or pursuing positive environmental and/or social outcomes.
Directory person
As Published: 2019
Directory person
123 an individual who is: (1) an appointed representative Directory person ; (2) a certification employee ; (3) a non-SMF director Directory person ; or (4) a sole trader Directory person .
tax exempt policy
As Published: 2001
tax exempt policy
any contract of assurance, offered or issued by a friendly society , which is tax exempt life or endowment business as defined in section 466 (2) of the Income and Corporation Taxes Act 1988. 3…
medical condition premium
As Published: 2020
medical condition premium
140 the total amount of premium relating to the risk associated with one or more specific medical conditions and attributable to any person covered under the policy 138 .
EMIR indirect clearing RTS
As Published: 2017
EMIR indirect clearing RTS
the UK version of 137 124 Commission Delegated Regulation (EU) No 2017/2155 of 22 September 2017 amending Commission Delegated Regulation (EU) No 149/2013 with regard to regulatory technical standards…
regulated claims management agreement
As Published: 2021
regulated claims management agreement
213 an agreement, the entering into or performing of which by either party is a regulated claims management activity (see section 137FD(7)(a) of the Act ).
limitation
As Published: 2001
limitation
2 a limitation incorporated in a Part 4A permission 104 under section 55E(5) 104 of the Act (Giving permission 95 : the FCA), section 55F(4) of the Act (Giving permission: the PRA), 95 section 55J(10)…
repo
As Published: 2001
repo
(a) an agreement between a seller and buyer for the sale of securities , under which the seller agrees to repurchase the securities , or equivalent securities , at an agreed date and, usually, at a st…