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sponsor declaration
As Published: 2014
sponsor declaration
128 a declaration submitted by a sponsor to the FCA as required under LR 8.4.3 R (Application for listing), LR 8.4.9 R (Further application for listing), LR 8.4.13 R (Production of circular) or LR 8.4…
Claims Management Order
As Published: 2019
Claims Management Order
228 the Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018.
SUP 16 Annex 42A Annual Financial Crime Report
As Published: 2016
SUP 16 Annex 42A Annual Financial Crime Report
…
individual capital assessment
As Published: 2006
individual capital assessment
53 (in 140 COBS 20.2 62 ) an assessment by a firm of the adequacy of its capital resources undertaken as part of an assessment of the adequacy of the firm's overall financial resources 140 .
Exemption Order
As Published: 2001
Exemption Order
the Financial Services and Markets Act 2000 (Exemption) Order 2001 (SI 2001/1201). 4…
CCAR 2004
As Published: 2014
CCAR 2004
157 Consumer Credit (Advertisements) Regulations 2004, SI 2004/1484.
service contract
As Published: 2015
service contract
134 233 (as defined in regulation 5 of the ADR Regulations ) a contract, other than a sales contract , under which a trader supplies, or agrees to supply a service to a consumer and the consumer pays,…
qualifying management company holding
As Published: 2011
qualifying management company holding
15 (in COLL ) a direct or indirect holding in a management company which represents 10% or more of the capital or of the voting rights or which makes it possible to exercise a significant influence ov…
linked long-term
As Published: 2001
linked long-term
(in relation to a contract of insurance ) a long-term insurance contract 24 where the benefits are wholly or partly to be determined by reference to the value of, or the income from, property of any d…
TCFD Recommendations and Recommended Disclosures
As Published: 2020
TCFD Recommendations and Recommended Disclosures
97 the four recommendations and the eleven recommended disclosures set out in Figure 4 of Section C of the TCFD Final Report .
with-profits committee
As Published: 2007
with-profits committee
13 a committee: 23 (a) the majority of the members of which are independent of the firm , or, where there is an equal number of independent and non-independent members, which is chaired by a person wh…
insurance-related capital requirement
As Published: 2004
insurance-related capital requirement
32 a component of the calculation of the ECR for a firm carrying on general insurance business as set out in INSPRU 1.1.76 R to INSPRU 1.1.79 R 52 .
per se professional client
As Published: 2007
per se professional client
46 a client categorised as a per se professional client in accordance with COBS 3.5 .
aircraft
As Published: 2001
aircraft
4 (in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph 5 of Part I of Schedule 1 to the Regulated Activities Order (Contracts of general insur…
credit firm
As Published: 2013
credit firm
151 a firm with permission to carry on a credit-related regulated activity .
investment manager
As Published: 2007
investment manager
(1) (except in LR ) 64 a person who, acting only on behalf of a client : (a) manages designated investments in an account or portfolio on a discretionary basis under the terms of a discretionary manag…