Search Result
21 - 40 of 226 items.
COLL 5.2 General investment powers and limits for UCITS schemes
As Published: 2005
…es when applying the rules in this section. CESR's UCITS eligible assets guidelines are available at https://www.esma.europa.eu/sites/default/files/library/2015/11/07_044.pdf. …LR TR 16 Transitional Provisions in relation to market capitalisation under LR 2.2.7 R(1)
As Published: 2021
… on submissions for an eligibility review for listing can be accessed on the FCA’s Knowledge Base at https://www.fca.org.uk/markets/ primary-markets/knowledge-base …MIFIDPRU 5 Annex 1 Notification under MIFIDPRU 5.6.3R and 5.9.3R that limits for concentration risk have been exceeded
As Published: 2001
MIFIDPRU 5 Annex 1 R 01/12/2021 1 [Editor’s note: The forms can be found at this address: https://www.handbook.fca.org.uk/form/MIFIDPRU 5 Annex 1R(A) Notification under MIFIDPRU 5.6.3R that the concentrati…RFCCBS 8.16 Dissolution
As Published: 2023
…es on the Scottish Charity Register, must also provide consent from the relevant regulator. [ Note : https://www.fca.org.uk/publication/forms/mutuals-instrument-dissolution-cuip-form.doc …COLL 4.7 Key investor information and marketing communications
As Published: 2011
… Methodology for the calculation of the synthetic risk and reward indicator in the KII (CESR/10-673) https://www.esma.europa.eu/sites/default/files/library/2015/11/10_673.pdf …COLL 5.3 Derivative exposure
As Published: 2005
…isk Measurement and the Calculation of Global Exposure and Counterparty Risk for UCITS (CESR/10-788) https://www.esma.europa.eu/sites/default/files/library/2015/11/10_788.pdf …COBS 4.12A Promotion of restricted mass market investments
As Published: 2022
…n designing digital financial promotions and, in particular, how the risk warning will be displayed: https://www.w3.org/WAI/WCAG21/quickref/ …COBS TP 2 Other Transitional Provisions
As Published: 2007
…nsions dashboard standards as at 28 October 2022 are included in the links below: • data standards ( https://www.pensionsdashboardsprogramme.org.uk/wp-content/uploads/2022/07/PDP-Data-standards.pdf …COBS 4.12B Promotion of non-mass market investments
As Published: 2022
…lity Guidelines (WCAG) accessibility standard when designing how the risk warning will be displayed: https://www.w3.org/WAI/WCAG21/quickref/ …serious ill-health lump sum
As Published: 2019
186 has the meaning in Part 1 of Schedule 29 to the Finance Act 2004. [Note: https://www.legislation.gov.uk/ukpga/2004/12/schedule/29/part/1 186 has the meaning in Part 1 of Schedule 29 to the Finance Act …online notification and application system
As Published: 2017
… October 2014 this was known as ONA, and from 1 October 2014 it has been known as the CONNECT system https://connect.fca.org.uk/firms/aupo_sitelogin 84 the FCA’s and the PRA’s online notification and applic…FCTR 10.2 The FSA’s findings
As Published: 2018
FCTR 10.2.1 G 13/12/2018 1 You can read the findings of the FSA’s thematic review here: https://www.fca.org.uk/publication/corporate/fsa-financial-crime-report.pdf …TCFD Guidance on Scenario Analysis for Non-Financial Companies
As Published: 2020
… published in October 2020 by the Task Force on Climate-related Financial Disclosures, available at: https://www.fsb-tcfd.org 97 the document entitled “Guidance on Scenario Analysis for Non-Financial Compan…TCFD Guidance on Risk Management Integration and Disclosure
As Published: 2020
… published in October 2020 by the Task Force on Climate-related Financial Disclosures, available at: https://www.fsb-tcfd.org. 97 the document entitled “Guidance on Risk Management Integration and Disclosur…TCFD Annex
As Published: 2020
…lished in October 2021 107 by the Task Force on Climate-related Financial Disclosures, available at: https://www.fsb-tcfd.org 97 the document entitled “Implementing the Recommendations of the Task Force on …TCFD Guidance on Metrics, Targets and Transition Plans
As Published: 2021
… published in October 2021 by the Task Force on Climate related Financial Disclosures, available at: https://www.fsb-tcfd.org 107 the document entitled “Guidance on Metrics, Targets, and Transition Plans” p…FUND 10 Annex 1 National private placement notification
As Published: 2013
D 26/07/2013 This annex consists of one or more forms. Forms can be completed online by visiting https://www.fca.org.uk/firms/nppr …TCFD Final Report
As Published: 2020
…es” published in June 2017 by the Task Force on Climate-related Financial Disclosures, available at: https://www.fsb-tcfd.org. 97 the report entitled “Recommendations of the Task Force on Climate-related Fi…RFCCBS 2.3 Public records service
As Published: 2023
RFCCBS 2.3.1 G 24/02/2023 1 People can search our register (available at https://mutuals.fsa.gov.uk/ …material business unit
As Published: 2020
…efined in Chapter 1 of the Remuneration Part of the PRA Rulebook (as amended from time to time). 164 https://www.prarulebook.co.uk/rulebook/Content/Chapter/292167/12-01-2023 means a ‘material business unit’…