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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]
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asset identification rules
As Published: 2001
asset identification rules
4 rules made by the appropriate regulator 185 which require an authorised person who has permission to effecting or carry out contracts of insurance to identify assets which belong to him and which ar…
FCA-designated senior management function
As Published: 2015
FCA-designated senior management function
83 an FCA controlled function that is a designated senior management function .
OPBAS Regulations
As Published: 2020
OPBAS Regulations
101 the Oversight of Professional Body Anti-Money Laundering and Counter Terrorist Financing Supervision Regulations 2017 (SI 2017/1301).
FOS ADR levy
As Published: 2015
FOS ADR levy
86 the amount payable to the FCA by FOS Ltd to which FEES 12 (FOS ADR levy) applies.
financial sector
As Published: 2004
financial sector
(1) (subject to (2)) one of the banking sector , the insurance sector , the MIFIDPRU investment services sector or the CRR investment services sector 143 . 23 (2) (for the purposes of the definition o…
ultimate EEA mixed financial holding company
As Published: 2013
ultimate EEA mixed financial holding company
49 a mixed financial holding company which has its head office in an EEA State and which is not itself the subsidiary undertaking of another mixed financial holding company , insurance parent undertak…
UK Securitisation Regulations
As Published: 2019
UK Securitisation Regulations
82 the Financial Services and Markets Act 2000 (Securitisation) Regulations 2018 (SI 2018/1288).
residual CIS operator
As Published: 2013
residual CIS operator
122 a firm with a Part 4A permission to carry on the activity specified in article 51ZE (Establishing etc. a collective investment scheme) of the Regulated Activities Order .
INSPRU Sch 3 Fees and other requirement payments
As Published: 2006
INSPRU Sch 3 Fees and other requirement payments
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funeral plan summary
As Published: 2022
funeral plan summary
137 a summary of a funeral plan contract in the format and containing the information in FPCOB 9 Annex 1 .
SUP 16 Annex 30 Electronic money: returns
As Published: 2011
SUP 16 Annex 30 Electronic money: returns
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UK RCH
As Published: 2001
UK RCH
a clearing house which is declared by an order made by the Bank of England under section 290 of the Act and for the time being in force to be a recognised clearing house. 96…
home purchase administrator
As Published: 2006
home purchase administrator
8 a firm with permission (or which ought to have permission ) for administering a home purchase plan .
business of advising
As Published: 2017
business of advising
72 the business of a firm in providing: (1) advice on P2P agreements ; (2) in relation to advising on investments (except P2P agreements) : (a) personal recommendations ; (b) non-personal recommendati…
IFPRU 730K firm
As Published: 2013
IFPRU 730K firm
124 has the meaning in IFPRU 1.1.11 R (Types of investment firm: IFPRU 730K firm) which in summary is an IFPRU investment firm that is not a collective portfolio management investment firm , a IFPRU 5…
individual savings account
As Published: 2001
individual savings account
an account which is a scheme of investment satisfying the conditions prescribed in the ISA Regulations . 5…
life and annuity
As Published: 2001
life and annuity
(in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph I of Part II of Schedule 1 to the Regulated Activities Order (Contracts of long-term insu…