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passported activity
As Published: 2001
passported activity
an activity carried on by an EEA firm , or by a UK firm , under an EEA right . 5…
announceable information
As Published: 2001
announceable information
4 information which is usually the subject of a public announcement, although not subject to any formal disclosure requirement.
Contractual Scheme Regulations
As Published: 2013
Contractual Scheme Regulations
147 the Collective Investment in Transferable Securities (Contractual Scheme) Regulations 2013 (SI 2013/1388).
programme
As Published: 2008
programme
70 (in RCB ) (as defined in Regulation 1(2) of the RCB Regulations ) issues, or series of issues, of covered bonds which have substantially similar terms and are subject to a framework contract or con…
Swiss general insurer
As Published: 2004
Swiss general insurer
28 a Swiss general insurance company which has permission to effect or carry out contracts of insurance of a kind which is subject to the Swiss Treaty Agreement .
IMA SORP
As Published: 2004
IMA SORP
26 the Statement of Recommended Practice for financial statements of authorised funds issued by the Investment Management Association on 14 May 2014. 139…
RCB 3 Annex 7A Loan level disclosure form
As Published: 2011
RCB 3 Annex 7A Loan level disclosure form
…
date of allotment
As Published: 2001
date of allotment
the date on which amounts of the relevant security are allotted to subscribers or purchasers and, where there is an initial or preliminary allotment subject to confirmation, the date of that initial o…
basic advice
As Published: 2004
basic advice
15 the regulated activity , specified in article 52B of the Regulated Activities Order (Providing basic advice on stakeholder products) which is, in summary, providing advice on stakeholder product s…
offer for subscription
As Published: 2005
offer for subscription
(in LR ) an invitation to the public by, or on behalf of, an issuer to subscribe for securities of the issuer not yet in issue or allotted (and may be in the form of an invitation to tender at or abov…
Money Laundering Regulations
As Published: 2002
Money Laundering Regulations
the Money Laundering Regulations 2007 (SI 2007/2157) 55 .
Gibraltar Order
As Published: 2001
Gibraltar Order
the Financial Services and Markets Act 2000 (Gibraltar) Order 2001 (SI 2001/3084). 3…
introducer appointed representative
As Published: 2001
introducer appointed representative
an appointed representative appointed by a firm whose scope of appointment is limited to: 30 (a) effecting introductions; and (b) distributing non-real time financial promotions . 5…
class tests
As Published: 2005
class tests
(in LR ) the tests set out in LR 10 Annex 1 (and for certain specialist companies, those tests as modified by LR 10.7 ), which are used to determine how a transaction is to be classified for the purpo…
biomass
As Published: 2008
biomass
29 the biodegradable fraction of products, waste and residues from agricultural (including vegetal and animal substances), forestry and related industries, as well as the biodegradable fraction of ind…
UKLA
As Published: 2001
UKLA
the FCA 97 acting in its capacity as the competent authority for the purposes of Part VI of the Act (Official Listing). 2…
regulated person
As Published: 2016
regulated person
157 (in FEES 9 ) a person on whom the IFR imposes an obligation, restriction or prohibition, including participants in IFR card payment systems .