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emissions auction product
As Published: 2012
emissions auction product
149 the investment specified in article 82A of the Regulated Activities Order (Greenhouse gas emissions allowances), which is in summary an emissions allowance offered for sale on an auction platform.
United Kingdom
As Published: 2001
United Kingdom
England and Wales, Scotland and Northern Ireland (but not the Channel Islands or the Isle of Man). 2…
home finance adviser
As Published: 2006
home finance adviser
8 a firm with permission (or which ought to have permission ) for advising on a home finance transaction .
Consolidated Motor Insurance Directive
As Published: 2010
Consolidated Motor Insurance Directive
113 the European Parliament and Council Directive of 16 September 2009 relating to insurance against civil liability in respect of the use of motor vehicles, and the enforcement of the obligation to i…
Business Order
As Published: 2004
Business Order
10 the Financial Services and Markets Act 2000 (Carrying on Regulated Activities by Way of Business Order) 2001 (SI 2001/1177).
made to; made only to; to whom it is made
As Published: 2007
made to; made only to; to whom it is made
47 a financial promotion is made to a person if it is addressed, whether orally or in legible form, to a particular person or person s (for example where it is contained in a telephone call or letter)…
second charge regulated mortgage contract
As Published: 2015
second charge regulated mortgage contract
133 a regulated mortgage contract which is not a first charge legal mortgage .
positions held with trading intent
As Published: 2001
positions held with trading intent
205 any of the following: (a) proprietary positions and positions arising from client servicing and market making; (b) positions intended to be resold in the short term; (c) positions intended to bene…
MAR 6.6 Size and content of quotes [deleted]
As Published: 2017
MAR 6.6 Size and content of quotes [deleted]
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non-directive insurer
As Published: 2001
non-directive insurer
an insurer which is not a Solvency II firm . 59…
non-DB pension scheme
As Published: 2020
non-DB pension scheme
84 any pension arrangement that is not a scheme (or is not a section of a scheme) that provides safeguarded benefits other than a guaranteed annuity rate .
concentration risk
As Published: 2001
concentration risk
256 the risks arising from the strength or extent of a firm’s relationships with, or direct exposure to, a single client or group of connected clients .
SUP 16 Annex 12A Reports from depositaries of authorised funds
As Published: 2016
SUP 16 Annex 12A Reports from depositaries of authorised funds
…
reinsurance contract
As Published: 2004
reinsurance contract
17 (in COBS 21 , 54 59 ICOBS , 110 CASS 1 , 183 CASS 5 and COMP ) a contract of insurance covering all or part of a risk to which a person is exposed under a contract of insurance .
internally managed AIF
As Published: 2013
internally managed AIF
118 (in accordance with regulation 4(3)(b) of the AIFMD UK regulation ) an AIF where the legal form permits internal management and where the AIF's governing body chooses not to appoint an external AI…
offer price
As Published: 2001
offer price
the price at which a person could purchase a unit in a dual-priced authorised fund or a security . 25…
major subsidiary undertaking
As Published: 2005
major subsidiary undertaking
(in UKLR 167 ) a subsidiary undertaking that represents 25% or more of the aggregate of the gross assets or profits (after deducting all charges except taxation) of the group . 28…