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Enterprise Zone Property Unit Trust
As Published: 2001
Enterprise Zone Property Unit Trust
an unregulated collective investment scheme of which the underlying assets are industrial and commercial buildings in an Enterprise Zone in accordance with section 749(2) of the Finance Act 1980. 4…
counterparty credit risk
As Published: 2006
counterparty credit risk
48 (in accordance with Part 1 of Annex III of the Banking Consolidation Directive (Definitions)) the risk that the counterparty to a transaction could default before the final settlement of the transa…
Regulatory Decisions Committee
As Published: 2001
Regulatory Decisions Committee
a committee of the Board of the FSA , described in DEPP 3.1 (The nature and procedure of the RDC) 58 .
group ISA
As Published: 2001
group ISA
an individual savings account of which the plan manager is the authorised fund manager , or in the same group as the authorised fund manager , of the authorised fund by reference to units in which the…
EIS manager
As Published: 2001
EIS manager
(a) (in relation to an EIS managed portfolio ) the investment manager; (b) (in relation to an EIS fund ) the manager of the fund. 4…
arrears
As Published: 2003
arrears
9 (in relation to a regulated mortgage contract or a home purchase plan 32 ) either: (a) a shortfall (equivalent to two or more regular payments) in the accumulated total payments actually made by the…
applicable sectoral consolidation rules
As Published: 2004
applicable sectoral consolidation rules
14 (in respect of a financial sector and in accordance with paragraph 6.9 37 of GENPRU 3 Annex 1 37 (Applicable sectoral consolidation rules)) the FSA's sectoral rules about capital adequacy and solve…
senior staff committee
As Published: 2001
senior staff committee
(in DEPP and EG 58 ) a committee consisting of senior FSA staff members that is empowered to make statutory notice decisions and statutory notice associated decisions by executive procedures . 5…
Financial Promotion Order
As Published: 2001
Financial Promotion Order
the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (SI 2005/1529) 17 .
executive procedures
As Published: 2001
executive procedures
the procedures relating to the giving of warning notices, decision notices and supervisory notices that are described in DEPP 4 (Decisions by FSA staff under executive procedures) 44 .
CFPPFM
As Published: 2005
CFPPFM
32 the consumer-friendly version of a firm's PPFM , which must be produced pursuant to COBS 20.4.5 R 56 .
actuarial function
As Published: 2004
actuarial function
19 controlled function CF12 in the table of controlled functions , described more fully in SUP 4.3.13 R and SUP 10.7.17 R .
Exemption Order
As Published: 2001
Exemption Order
the Financial Services and Markets Act 2000 (Exemption) Order 2001 (SI 2001/1201). 4…
notice of discontinuance
As Published: 2001
notice of discontinuance
a notice given by the FSA in accordance with section 389 of the Act (Notices of discontinuance) which states that the FSA has decided not to take the action proposed in a warning notice or the action…
realistic value of assets
As Published: 2004
realistic value of assets
29 (in relation to a with-profits fund ) has the meaning set out in 46 INSPRU 1.3.33R 46 .
SUP 8 Annex 1 SUP 8: Waiver and modification of rules
As Published: 2001
SUP 8 Annex 1 SUP 8: Waiver and modification of rules
…
asset identification rules
As Published: 2001
asset identification rules
4 (as defined in subsection 142(2) of the Act (Insurance business: regulations supplementing Authority's rules)) rules made by the FSA which require an authorised person who has permission to effectin…
category B1 firm
As Published: 2009
category B1 firm
94 a category B firm whose permission includes dealing in investments as principal .