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UCITS Regulations 2011
As Published: 2011
UCITS Regulations 2011
43 the Undertaking for Collective Investment in Transferable Securities Regulations 2011 (SI 2011/1613).
relevant commencement date
As Published: 2004
relevant commencement date
24 (as defined in article 1 of the Mortgage and General Insurance Complaints Transitional Order ): (a) in relation to a complaint which relates to an activity to which, immediately before 14 January 2…
special adjustment
As Published: 2009
special adjustment
85 (in IPRU(INV) 13) a position risk adjustment, counterparty risk adjustment and foreign exchange adjustment.
long-term admissible asset
As Published: 2004
long-term admissible asset
13 a long-term insurance asset which is an admissible asset .
own funds wind-down trigger
As Published: 2001
own funds wind-down trigger
(Except in the circumstances explained in MIFIDPRU TP 2.25AR ) 112 104 an amount of own funds that is equal to: (1) the firm’s fixed overheads requirement ; or (2) another amount specified by the FCA…
payment instrument
As Published: 2009
payment instrument
(1) (in BCOBS ) any personalised device or personalised set of procedures agreed between the banking customer and the firm used by the banking customer to initiate an instruction or request by the ban…
cryptoasset exchange provider
As Published: 2020
cryptoasset exchange provider
245 as defined in the Money Laundering Regulations .
margined transaction requirement
As Published: 2014
margined transaction requirement
94 the total amount of client money a firm is required to segregate in client bank accounts for margined transactions under the client money rules , in accordance with CASS 7.16.32 R .
authorised contractual scheme
As Published: 2013
authorised contractual scheme
95 a co-ownership scheme or a limited partnership scheme .
limited assurance engagement
As Published: 2011
limited assurance engagement
a 'limited assurance engagement' as described in the Glossary of terms in Financial Reporting Council: Audit and Assurance: Standards and Guidance 2014.
alternative projection
As Published: 2007
alternative projection
49 (in COBS ) a projection calculated on the basis described in paragraph 1.5R of the projection rules ( COBS 13 Annex 2 ), rather than in accordance with the remainder of those rules .
EEA insurance parent undertaking
As Published: 2004
EEA insurance parent undertaking
24 an insurance parent undertaking that has its head office in the United Kingdom or another EEA State .
SORP
As Published: 2024
SORP
(in COLL ) the Statement of Recommended Practice for financial statements of authorised funds issued by the Investment Association (formerly the Investment Management Association) on 14 May 2014 (and…
market maker exemption
As Published: 2012
market maker exemption
79 an exemption from articles 5, 6, 7, 12, 13 and 14 of the short selling regulation for transactions performed due to market making activities pursuant to article 17 of the short selling regulation .
Principle
As Published: 2001
Principle
5 one of the Principles set out in PRIN 2.1.1 R (Principles for Businesses).
COND Sch 3 Fees and other required payments
As Published: 2004
COND Sch 3 Fees and other required payments
…
instrument of incorporation
As Published: 2001
instrument of incorporation
the instrument of incorporation of an ICVC (as from time to time amended) initially provided to the FCA 195 in accordance with regulation 14(1)(c) of the OEIC regulations . 5…