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acting as trustee or depositary of a UCITS
As Published: 2013
acting as trustee or depositary of a UCITS
96 the regulated activity , specified in article 51ZB of the Regulated Activities Order which is, in summary, acting as: (a) a trustee of an authorised unit trust scheme ; or (b) a depositary of an op…
investment transaction
As Published: 2001
investment transaction
a transaction to buy , sell , subscribe for or underwrite a security or contractually based investment . 5…
regulated activity debt
As Published: 2004
regulated activity debt
an obligation to pay a sum due and payable under an agreement, the making or performance of which constitutes or is part of a regulated activity carried on by an individual who: (a) is, or has been, a…
CCP
As Published: 2012
CCP
a legal person that interposes itself between the counterparties to the contracts traded on one or more financial markets, becoming the buyer to every seller and the seller to every buyer, as defined…
membership of a Lloyd's syndicate
As Published: 2001
membership of a Lloyd's syndicate
3 the investment , specified in article 86(2) of the Regulated Activities Order , which is a person 's membership (or prospective membership) of a Lloyd's syndicate .
engagement policy
As Published: 2019
engagement policy
139 (1) (in SYSC 3.4 ) as defined in SYSC 3.4.4R(1)(a) . (2) (in COBS 2.2B ) as defined in COBS 2.2B.5R(1)(a) .
professional customer
As Published: 2012
professional customer
100 a customer who works or has recently worked in the home finance sector for at least one year in a professional position, which requires knowledge of the home finance transactions or home finance s…
AIFM Remuneration Code
As Published: 2013
AIFM Remuneration Code
101 as set out in SYSC 19B (AIFM Remuneration Code).
lifetime ISA government withdrawal charge
As Published: 2017
lifetime ISA government withdrawal charge
72 has the meaning given to “withdrawal charge” in paragraph 9(4) of Schedule 1 to the Savings (Government Contributions) Act 2016.
with-profits actuary function
As Published: 2004
with-profits actuary function
PRA controlled function 31 described more fully in SUP 4.3.16AR and the Senior Insurance Management Function parts of the PRA Rulebook 31 .
public announcement
As Published: 2001
public announcement
5 any communication made by or on behalf of the issuer or the stabilising manager being a communication made in circumstances in which it is likely that members of the public will become aware of the…
market data processor system
As Published: 2017
market data processor system
118 the IT system set up and maintained by the FCA to receive data under MiFID 118 and MiFIR .
European Economic Area
As Published: 2001
European Economic Area
the area established by the agreement on the European Economic Area signed at Oporto on 2 May 1992, as it has effect for the time being and which consists of the EEA States . 4 20…
key information document
As Published: 2017
key information document
10 a document that is drawn up for a PRIIP in accordance with the PRIIPs Regulation .
lending firm
As Published: 2006
lending firm
22 (in accordance with Article 90 of the Banking Consolidation Directive (Credit risk mitigation) and for the purposes of rules in BIPRU 55 about credit risk mitigation ) a firm that has an exposure ,…
leading insurer
As Published: 2001
leading insurer
(in relation to a community co-insurance operation ) a co-insurer that assumes the leader's role in co-insurance practice and, in particular, determines the terms and conditions of insurance and ratin…
alternative approach mandatory prudent segregation record
As Published: 2014
alternative approach mandatory prudent segregation record
111 the record created and maintained by a firm under CASS 7.13.66 R to CASS 7.13.68 R 111 .
relevant information
As Published: 2001
relevant information
(1) 139 [deleted] 139 (2) (in REC ) (in relation to an investment ) information which is relevant to determining the current value of that investment or (in relation to RAPs ) information on the terms…