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POS Regulations
As Published: 2001
POS Regulations
5 the Public Offers of Securities Regulations 1995 (SI 1995/1537).
operating a dormant asset fund
As Published: 2022
operating a dormant asset fund
108 any of the regulated activities of: (a) meeting of repayment claims ; or 108 (b) managing dormant asset funds (including the investment of such funds) . 108…
MERS levy
As Published: 2010
MERS levy
70 a levy (management expenses in respect of relevant schemes levy) imposed by the FSCS on participant firms to meet the management expenses incurred by the FSCS in connection with acting on behalf of…
strategic investment
As Published: 2012
strategic investment
106 an investment which: (a) is made for a strategic purpose; (b) is made for an expected duration consistent with that purpose and is, or has the potential to be, illiquid or hard to value; and (c) i…
tradable renewable energy credit
As Published: 2001
tradable renewable energy credit
an allowance, licence, permit, right, note, unit, credit, asset, certificate or instrument (the "credit") where: (a) the credit confers or may result in a benefit or advantage to its holder or someone…
multilateral system
As Published: 2017
multilateral system
118 any system or facility in which multiple third-party buying and selling trading interests in financial instruments are able to interact in the system. [Note: article 2(1)(11) of MiFIR 132 ]…
money service operator
As Published: 2002
money service operator
a person who carries on money service business other than a firm , a BCD credit institution or a financial institution . 6…
higher lending charge
As Published: 2003
higher lending charge
4 a fee charged by a mortgage lender (under a regulated mortgage contract ) where the amount borrowed exceeds a given percentage of the value of the property.
sale shortfall
As Published: 2003
sale shortfall
15 the outstanding amount due to the home finance provider 42 , under a home finance transaction 42 , following the sale of the property that is its subject 42 .
reattribution
As Published: 2005
reattribution
35 the process under which a firm which carries on with-profits business seeks to redefine the rights and interests that the with-profits policyholders have over the inherited estate .
internal custody reconciliation method
As Published: 2014
internal custody reconciliation method
132 a method for performing an internal custody record check , described in CASS 6.6.17 R .
pending application
As Published: 2001
pending application
(as defined in article 3(1) of the compensation transitionals order ): (a) an application for compensation made under an investment business compensation scheme before commencement in relation to whic…
contractual scheme rules
As Published: 2013
contractual scheme rules
147 rules in COLL made by the FCA under section 261I of the Act (Contractual scheme rules) in relation to: (a) the constitution, management and operation of ACSs ; (b) the powers, duties, rights, and…
recognised investment exchange
As Published: 2001
recognised investment exchange
an investment exchange which is declared by a recognition order for the time being in force to be a recognised investment exchange. 5…
short selling regulation
As Published: 2012
short selling regulation
the UK version of 180 regulation (EU) No 236/2012 of the European Parliament and of the Council of 14 March 2012 on short selling and certain aspects of credit default swaps, which is part of UK law b…
MiFIR
As Published: 2015
MiFIR
the UK version of 132 118 Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012, which i…
packaged bank account
As Published: 2012
packaged bank account
99 an arrangement under which a firm provides a retail banking service as part of a package which includes access to other goods or services, whether or not a fee is charged.
Prospectus RTS Regulation
As Published: 2019
Prospectus RTS Regulation
the UK version of Commission Delegated Regulation (EU) No 2019/979, which is part of UK law by virtue of the EUWA . 194…