Search Result
relevant pension scheme
As Published: 2001
relevant pension scheme
(1) (except in COBS 19.11 ) 218 a pension scheme or an additional voluntary contribution . (2) (in COBS 19.11 ) a personal pension scheme or stakeholder pension scheme that has at least one relevant p…
key investor information
As Published: 2011
key investor information
(1) (for a UCITS ) key information for investors on the essential elements of a UCITS scheme 14 as detailed 14 in the KII Regulation ; 10 (2) (for a non-UCITS retail scheme ) key information for inves…
serious ill-health lump sum
As Published: 2019
serious ill-health lump sum
186 has the meaning in Part 1 of Schedule 29 to the Finance Act 2004. [Note: https://www.legislation.gov.uk/ukpga/2004/12/schedule/29/part/1 ]…
CONC Sch 3 Fees and other required payment
As Published: 2014
CONC Sch 3 Fees and other required payment
…
EMIR
As Published: 2012
EMIR
the UK version of 137 79 Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories, which is part of UK law by virtue of the EUWA , 137 sometimes referred to as the…
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 .
electronic money customer
As Published: 2019
electronic money customer
138 (in BCOBS ): (a) a consumer ; (b) a micro-enterprise ; or (c) a charity which has an annual income of less than £1 million.
lead regulated firm
As Published: 2001
lead regulated firm
a firm which is the subject of the financial supervision requirements of an overseas regulator in accordance with an agreement between the appropriate regulator 106 and that regulator relating to the…
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…
eligible
As Published: 2001
eligible
(in COLL and in the definition of inherently illiquid asset ) 143 (in relation to a securities or a derivatives market) a market that satisfies the requirements in COLL 5.2.10 R (Eligible markets: req…
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…
asset backed commercial paper programme
As Published: 2006
asset backed commercial paper programme
171 154 a programme of securitisations (within the meaning of paragraph (2) of the definition of securitisation) the securities issued by which predominantly take the form of commercial paper with an…
currency transfer service
As Published: 2019
currency transfer service
231 a payment service or the issuance of electronic money that involves a currency conversion. For the purpose of this definition ‘currency conversion’ has the same meaning as it has in the Payment Se…
large institution
As Published: 2020
large institution
83 has the meaning in article 4(1)(146) of the UK CRR 84 .
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…
EIS manager
As Published: 2001
EIS manager
(a) (in relation to an EIS managed portfolio ) the investment manager; (b) (in relation to an EIS fund ) the manager of the fund. 4…
SFTR (EU Exit) Regulations
As Published: 2020
SFTR (EU Exit) Regulations
192 the Transparency of Securities Financing Transactions and of Reuse (Amendment) (EU Exit) Regulations 2019 (SI 2019/542)…