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repurchase transaction
As Published: 2006
repurchase transaction
has the meaning in article 3(9) of the SFTR . 209 130 192 192…
CBTL consumer
As Published: 2016
CBTL consumer
179 (in relation to a buy-to-let credit agreement ) (a) a person acting for purposes which are outside that person's trade, business or profession; or (b) a borrower under a CBTL credit agreement .
innovative finance ISA business
As Published: 2016
innovative finance ISA business
142 a firm's activities, in its capacity as an ISA manager , in connection with an ISA which contains only an innovative finance component and is not designated investment business .
pensions dashboard verified identity attributes
As Published: 2022
pensions dashboard verified identity attributes
214 a pensions dashboard user’s first name, surname, current address and date of birth, as verified by the Money and Pensions Service .
target rate
As Published: 2019
target rate
88 the overall rate of return, however expressed, that an operator of an electronic system in relation to lending offers, in whatever manner, to aim to achieve for a lender using a P2P portfolio .
stock lending
As Published: 2001
stock lending
the disposal of a designated investment subject to an obligation or right to reacquire the same or a similar designated investment from the same counterparty. 5…
SUP 16 Annex 48AR Value measures report form (REP019)
As Published: 2020
SUP 16 Annex 48AR Value measures report form (REP019)
…
asset pool
As Published: 2008
asset pool
61 (in RCB ) (as defined in Regulation 1(2) of the RCB Regulations ) an asset pool within the meaning of Regulation 3 of the RCB Regulations .
headline information
As Published: 2014
headline information
35 the headline codes and headline categories for use with the announcement of regulated information that are listed in DTR 8 Annex 2 .
Regulatory Decisions Committee
As Published: 2001
Regulatory Decisions Committee
a committee of the Board of the FCA , 231 described in DEPP 3.1 (The nature and procedure of the RDC) 58 .
venture capital firm
As Published: 2001
venture capital firm
a firm whose permission includes a requirement that it must not conduct designated investment business other than venture capital business . 1…
financial analyst
As Published: 2007
financial analyst
25 a relevant person who produces the substance of investment research . [Note: article 2(1) of the MiFID Org Regulation 107 ]…
non-discretionary investment manager
As Published: 2004
non-discretionary investment manager
( 37 in relation to firm type in SUP 16.10 (Confirmation of firm details 76 )) a person who, acting only on behalf of a client , manages designated investments in an account or portfolio on a non-disc…
MAR 5.8 Provisions common to pre- and post-trade transparency requirements for shares [deleted]
As Published: 2007
MAR 5.8 Provisions common to pre- and post-trade transparency requirements for shares [deleted]
…