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restricted mass market investment
As Published: 2022
restricted mass market investment
217 any of the following: (a) a non-readily realisable security ; (b) a P2P agreement ; (c) a P2P portfolio ; 219 219 (d) a unit in a long-term asset fund 220 ; 220 (e) a qualifying cryptoasset .
managing the underwriting capacity of a Lloyd's syndicate as a managing agent at Lloyd's
As Published: 2001
managing the underwriting capacity of a Lloyd's syndicate as a managing agent at Lloyd's
the regulated activity , specified in article 57 of the Regulated Activities Order (Managing the underwriting capacity of a Lloyd's syndicate), of managing the underwriting capacity of a Lloyd's syndi…
venture capital trust
As Published: 2005
venture capital trust
(in LR ) a company which is, or which is seeking to become, approved as a venture capital trust under section 842AA of the Income and Corporation Taxes Act 1988. 6…
closed product
As Published: 2022
closed product
265 a product : (1) where there are existing contracts with retail customers entered into before 31 July 2023; and (2) which is not marketed or distributed 270 to retail customers (including by way of…
composite insurer
As Published: 2004
composite insurer
19 (in relation to firm type in SUP 16.10 (Confirmation of firm details 221 )) an insurer with permission to effect or carry out both long-term insurance contracts and general insurance.
FPS
As Published: 2015
FPS
89 the Faster Payments Scheme 97 regulated payment system designated by HM Treasury under section 43 of FSBRA .
DMG
As Published: 2014
DMG
87 the Office of Fair Trading's Debt Management (and credit repair services Guidance).
parental responsibility
As Published: 2004
parental responsibility
22 (as defined in section 3(9) of the Child Trust Fund Act 2004): (a) parental responsibility within the meaning of the Children Act 1989 or the Children (Northern Ireland) Order 1995 (SI 1995/755 (N.
Balancing and Settlement Code
As Published: 2001
Balancing and Settlement Code
2 the document designated by the Secretary of State and adopted by the National Grid Company plc as the Balancing and Settlement Code as modified from time to time in accordance with the terms of the…
larger denomination share
As Published: 2001
larger denomination share
any share that is not a smaller denomination share . 2…
former member
As Published: 2001
former member
a person who has ceased to be a member , whether by resignation or otherwise, in accordance with Lloyd's Act 1982 and any byelaw made under it. 2…
physical meeting
As Published: 2024
physical meeting
221 (in COLL 4 ) has the meaning given in COLL 4.4.1AR(1) .
investment advice of an ongoing nature
As Published: 2001
investment advice of an ongoing nature
180 either of the following: (1) the recurring provision of investment advice ; or (2) investment advice given in the context of the continuous or periodic assessment and monitoring or review of a cli…
full CRD credit institution
As Published: 2013
full CRD credit institution
72 an undertaking whose business is to receive deposits or other repayable funds from the public and to grant credits for its own account and that has its registered office (or, if it has no registere…
projection period
As Published: 2007
projection period
61 (in COBS ) the period covered by a standardised deterministic projection , which begins on the date the investment is reasonably expected to be made and ends on the projection date described in par…
CASS resolution pack
As Published: 2012
CASS resolution pack
those documents and records which are specified in CASS 10.2 and CASS 10.3 . 128…
execution-only sale
As Published: 2012
execution-only sale
74 (a) a home finance transaction entered into by a firm with, or arranged by a firm for, a customer ; or (b) a variation of an existing home finance transaction entered into by a firm with, or arrang…
requisite details
As Published: 2001
requisite details
the details required in regulation 1 of 64 the EEA Passport Rights Regulations and set out in SUP 13 Annex 1 (Requisite details: branches).
sub-consolidated basis
As Published: 2023
sub-consolidated basis
219 (in relation to a group to which the UK CRR applies) has the meaning given in Article 4(1)(49) of the UK CRR .