Search Result
EMPS 2.1 These provisions have been moved to the Supervision Manual (SUP 21)
As Published: 2001
EMPS 2.1 These provisions have been moved to the Supervision Manual (SUP 21)
…
unauthorised person
As Published: 2001
unauthorised person
a person who is not an authorised person . 2…
credit card cheque
As Published: 2014
credit card cheque
157 a cheque (whether or not drawn on a banker) which, whenever used, will result in the provision of credit under a credit-token agreement , which does not include a cheque to be used only in connect…
acknowledgement letter
As Published: 2014
acknowledgement letter
111 (in CASS 7 ) a client bank account acknowledgement letter ( a letter in the form of the template in CASS 7 Annex 2 R), a client transaction account acknowledgement letter (s a letter in the form o…
directed at
As Published: 2007
directed at
40 a financial promotion is directed at persons if it is addressed to persons generally (for example where it is contained in a television broadcast or web site).
UCITS Home State
As Published: 2011
UCITS Home State
43 the Home State of a UCITS scheme or EEA UCITS scheme .
third-country financial conglomerate
As Published: 2004
third-country financial conglomerate
13 a financial conglomerate that is of a type that falls under Article 5(3) of the Financial Groups Directive , which in summary is a financial conglomerate headed by a regulated entity or a mixed fin…
external valuer
As Published: 2013
external valuer
85 a person who performs the valuation function described in article 19 of the AIFMD in respect of an AIF managed by a full-scope UK AIFM , and is not the AIFM of that AIF .
Company Announcements Office
As Published: 2001
Company Announcements Office
the Company Announcements Office of the London Stock Exchange, the information dissemination provider approved by the UKLA . 3…
advertisement
As Published: 2005
advertisement
(in PR and LR 4 ) (as defined in the PD Regulation ) announcements: (a) relating to a specific offer to the public of securities or to an admission to trading on a regulated market; and (b) aiming to…
hypothetical profit and loss figure
As Published: 2011
hypothetical profit and loss figure
25 (in BIPRU 7.10 (Use of a value at risk model) and in relation to a business day ) the profit and loss figure that would have occurred for that business day if the portfolio on which the VaR number…
issue price
As Published: 2001
issue price
5 (in relation to the issue of units of a dual-priced authorised fund ) the price 46 for each unit payable by the authorised fund manager to the depositary 46 on that issue .
stocks and shares ISA business
As Published: 2014
stocks and shares ISA business
126 a firm's activities, in its capacity as an ISA manager , in connection with an ISA which contains only a stocks and shares component and is not either or both MiFID business and designated investm…
with-profits advisory arrangement
As Published: 2012
with-profits advisory arrangement
(a) 23 an independent person; or (b) if appropriate, one or more non-executive directors appointed to provide independent judgment to the governing body of a firm ; FCA controlled functions which sati…