Search Result
ADR Regulations
As Published: 2015
ADR Regulations
120 187 the Alternative Dispute Resolution for Consumer Disputes (Competent Authorities and Information) Regulations 2015 (SI 2015/542).
terminating event
As Published: 2001
terminating event
(as defined in article 2(1) of the compensation transitionals order ) in relation to applications made under an investment business compensation scheme , the withdrawal, discontinuance or rejection of…
cross border services
As Published: 2001
cross border services
(1) (in relation to a UK firm ) services provided within an EEA State other than the United Kingdom under the freedom to provide services. (2) (in relation to an incoming EEA firm or an incoming Treat…
UK parent financial holding company in a Member State
As Published: 2006
UK parent financial holding company in a Member State
19 a parent financial holding company in a Member State where the EEA State in question is the United Kingdom .
RAP regulations
As Published: 2011
RAP regulations
105 the Recognised Auction Platforms Regulations 2011 (SI 2011/2699).
own-initiative powers
As Published: 2013
own-initiative powers
the 116 FCA's or the PRA's own-initiative variation power and own-initiative requirement power .
business offer document
As Published: 2003
business offer document
9 an offer document for a regulated mortgage contract that is for a business purpose.
loaned funds
As Published: 2014
loaned funds
57 (in IPRU(INV) ) any funds that have been provided to borrowers under a P2P agreement through an operator of an electronic system in relation to lending .
relevant financial system
As Published: 2010
relevant financial system
87 (in accordance with section 169A(5) of the Act (Support of overseas regulator with respect to financial stability)) a financial system including: (a) financial markets and exchanges; (b) activities…
interim permission
As Published: 2013
interim permission
122 in accordance with article 56 of the Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No.2) Order 2013, subject to article 59 of that Order, to be treated as: (a) in rel…
UK ISPV
As Published: 2006
UK ISPV
18 an ISPV with a Part 4A permission 97 to effect or carry out contracts of insurance .
disclosure obligations
As Published: 2007
disclosure obligations
39 (in REC ) the initial, ongoing and ad hoc disclosure requirements contained in the relevant articles and given effect: (1) in the United Kingdom by Part 6 of the Act and Part 6 rules (within the me…
debt management client money chapter
As Published: 2014
debt management client money chapter
87 CASS 11 .
FINMAR Sch 3 Fees and other required payments
As Published: 2010
FINMAR Sch 3 Fees and other required payments
…
pension wrapper
As Published: 2007
pension wrapper
52 (in the cancellation rules ( COBS 15 )) a SIPP , pension contract or personal pension product .
tied MCD article 3(1)(b) credit intermediary
As Published: 2015
tied MCD article 3(1)(b) credit intermediary
67 an MCD article 3(1)(b) credit intermediary who acts on behalf of and under the full and unconditional responsibility of: (a) only one MCD article 3(1)(b) creditor ; (b) only one group ; or (c) a nu…
CTF bank account
As Published: 2004
CTF bank account
24 a bank account which fulfils the requirements of Regulation 11(5) of the CTF Regulations .