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Treaty right
As Published: 2004
Treaty right
the entitlement of a Treaty firm to qualify for authorisation under Schedule 4 to the Act (Treaty Rights).2001/7…
BCOBS Sch 3 Fees and other required payments
As Published: 2009
BCOBS Sch 3 Fees and other required payments
…
CONRED 2 Annex 5 Final letter to consumers who have not sent a request for review
As Published: 2013
CONRED 2 Annex 5 Final letter to consumers who have not sent a request for review
…
national guarantee fund
As Published: 2001
national guarantee fund
(in relation to an EEA State ) a body which: (a) has been set up or authorised in that State in accordance with article 1(4) of Council Directive (84/5/EEC); and (b) provides compensation for damages…
IGC
As Published: 2015
IGC
135 (in COBS 19.5 and COBS 19.8 152 ) an independent governance committee established by a firm with terms of reference which satisfy COBS 19.5.5R with the purpose, in summary, to represent the intere…
rolling stock method
As Published: 2014
rolling stock method
135 a method for performing a physical asset reconciliation , as described in CASS 6.6.28 R .
systemically important institution
As Published: 2013
systemically important institution
120 (in accordance with article 3(30) of CRD ) an EEA parent institution , an EEA parent financial holding company , an EEA parent mixed financial holding company or an institution the failure or malf…
regulated sale and rent back activity
As Published: 2009
regulated sale and rent back activity
76 any of the following regulated activities : (a) arranging (bringing about) a regulated sale and rent back agreement (article 25E(1)); (b) making arrangements with a view to a regulated sale and ren…
CONC Sch 3 Fees and other required payment
As Published: 2014
CONC Sch 3 Fees and other required payment
…
other overall responsibility function
As Published: 2015
other overall responsibility function
74 FCA controlled function SMF18 in Part 1 of the table in SUP 10C.4.3R (Table of FCA-designated senior management 75 functions for relevant authorised persons), described more fully in SUP 10C.7.1R .
general stress and scenario testing rule
As Published: 2006
general stress and scenario testing rule
48 (1) (in GENPRU , BIPRU and INSPRU ) GENPRU 1.2.42 R (Stress and scenario tests). (2) (for the purpose of IFPRU ) IFPRU 2.2.37R (Stress and scenario tests).
gross adjusted claims amount
As Published: 2004
gross adjusted claims amount
12 (for the purposes of INSPRU 1.1 20 ) an amount, as defined in INSPRU 1.1.60R 20 to INSPRU 1.1.65G 20 , used in calculating the claims amount .
retail customer
As Published: 2003
retail customer
14 17 22 (in accordance with the meaning of 'consumer' in article 2(d) of the Distance Marketing Directive an individual who is acting for purposes which are outside his trade, business or profession.
additional tier 1 capital
As Published: 2013
additional tier 1 capital
105 as defined in article 61 of the EU CRR .
MiFID optional exemption firm
As Published: 2017
MiFID optional exemption firm
118 a firm that is an exempt investment firm for the purpose of regulation 8 of the MiFI Regulations .
GAP contract
As Published: 2015
GAP contract
57 a guaranteed asset protection contract; this is a contract of insurance covering a policyholder , in the event of total loss to a vehicle , against the difference between: (a) the amount claimed un…
market counterparty
As Published: 2001
market counterparty
(for the purposes only of COBS TP 1 (Transitional Provisions in relation to Client Categorisation)) 90 any person classified as a 'market counterparty' under COB on 31 October 2007, in accordance with…
market interface specification
As Published: 2017
market interface specification
118 a document setting out the technical details required to format and submit market data to the FCA using the market data processor system .
online notification and application system
As Published: 2017
online notification and application system
84 the FCA’s and the PRA’s online notification and applications system, by whatever name known. [Note: before 1 October 2014 this was known as ONA, and from 1 October 2014 it has been known as the CON…