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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…
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…
auction regulation bidding
As Published: 2012
auction regulation bidding
90 the regulated activity of bidding in emissions auctions where it is carried on by a firm that is exempt from MiFID under article 2(1)(j) 139 192 .
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 99 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 .
open-end agreement
As Published: 2014
open-end agreement
64 a credit agreement with no fixed duration.
retail investment
As Published: 2004
retail investment
(a) a life policy ; or 19 (b) a unit ; or 19 (c) a stakeholder pension scheme ; or 19 (ca) a personal pension scheme ; or 40 (d) an interest in an investment trust savings scheme ; or 19 (e) a structu…
price information
As Published: 2003
price information
14 (in MCOB ) information, in a financial promotion 39 , that relates to: (a) any rate of charge; or (b) the presence or absence of any payments, fees or charges 123 ; or (c) the amount, frequency or…
solicited real time financial promotion
As Published: 2001
solicited real time financial promotion
(in accordance with article 8 of the Financial Promotion Order ) a real time financial promotion which is solicited, that is, it is made in the course of a personal visit, telephone call or other inte…
non-EEA insurer
As Published: 2004
non-EEA insurer
13 an insurer whose head office is not in an EEA State .
Transparency Directive
As Published: 2006
Transparency Directive
64 64 64 70 the European Parliament and Council Directive on the harmonisation of transparency requirements in relation to information about issuers whose securities are admitted to trading on a regul…
UNFCOG
As Published: 2007
UNFCOG
24 the Unfair Contract Terms and Consumer Notices 63 Regulatory Guide.
IFPRU Sch 3 Fees and other requirement payments
As Published: 2014
IFPRU Sch 3 Fees and other requirement payments
…