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investment manager
As Published: 2007
investment manager
(1) (except in LR ) 64 a person who, acting only on behalf of a client : (a) manages designated investments in an account or portfolio on a discretionary basis under the terms of a discretionary manag…
recognised scheme
As Published: 2001
recognised scheme
a scheme recognised under: (a) section 264 of the Act (Schemes constituted in other EEA States); or (b) [deleted] 133 (c) section 272 of the Act (Individually recognised overseas schemes). 5…
prescribed market
As Published: 2001
prescribed market
5 9 a market which had 143 been prescribed by the Treasury in the Prescribed Markets and Qualifying Investments Order as it was in force on 2 July 2016. 143…
CBTL consumer
As Published: 2016
CBTL consumer
179 (in relation to a buy-to-let credit agreement ) (a) a person acting for purposes which are outside that person's trade, business or profession; or (b) a borrower under a CBTL credit agreement .
innovative finance ISA business
As Published: 2016
innovative finance ISA business
142 a firm's activities, in its capacity as an ISA manager , in connection with an ISA which contains only an innovative finance component and is not designated investment business .
lower tier two capital
As Published: 2002
lower tier two capital
(1) 13 42 109 [deleted] 42 109 (2) (in 22 BIPRU , GENPRU and INSPRU 22 ) an item of capital that is specified in stage H of the capital resources table (Lower tier two capital) 22 . 13…
stock lending
As Published: 2001
stock lending
the disposal of a designated investment subject to an obligation or right to reacquire the same or a similar designated investment from the same counterparty. 5…
asset pool
As Published: 2008
asset pool
61 (in RCB ) (as defined in Regulation 1(2) of the RCB Regulations ) an asset pool within the meaning of Regulation 3 of the RCB Regulations .
headline information
As Published: 2014
headline information
35 the headline codes and headline categories for use with the announcement of regulated information that are listed in DTR 8 Annex 2 .
Regulatory Decisions Committee
As Published: 2001
Regulatory Decisions Committee
a committee of the Board of the FCA , 233 described in DEPP 3.1 (The nature and procedure of the RDC) 58 .
venture capital firm
As Published: 2001
venture capital firm
a firm whose permission includes a requirement that it must not conduct designated investment business other than venture capital business . 1…
Insurance Intermediaries Order
As Published: 2004
Insurance Intermediaries Order
22 the Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No. 2) (Insurance Intermediaries) Order 2003 (SI 2003/1476).
limited price indexation
As Published: 2012
limited price indexation
44 in relation to transfer value analysis, benefits which increase in line with a recognised index but subject to a minimum and/or maximum rate.
specified significant-harm function
As Published: 2015
specified significant-harm function
136 a significant-harm function that has been specified by the FCA or the PRA further to section 63E(2) of the Act (Certification of employees by relevant authorised persons).
asset identification rules
As Published: 2001
asset identification rules
4 rules made by the appropriate regulator 187 which require an authorised person who has permission to effecting or carry out contracts of insurance to identify assets which belong to him and which ar…
relevant senior management application
As Published: 2015
relevant senior management application
148 has the meaning in section 61(1)(b) of the Act (Determination of applications) which, in summary, is an application for approval to perform a designated senior management function in relation to t…