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Insolvency Proceedings Regulation
As Published: 2019
Insolvency Proceedings Regulation
166 the UK version of Regulation (EC) No.1346/2000 on 29 May 2000 on insolvency proceedings, which is part of UK law by virtue of the EUWA .
admission or admission to listing
As Published: 2005
admission or admission to listing
(in UKLR 181 ) admission 172 of securities to the official list . 23…
specialist securitised derivative
As Published: 2005
specialist securitised derivative
(in UKLR 224 ) a securitised derivative which because of its nature is normally bought and traded by a limited number of investors who are particularly knowledgeable in investment matters. 34…
Visa
As Published: 2015
Visa
17 the Visa Europe 18 regulated payment system designated by HM Treasury under section 43 of FSBRA .
conditional permitted scheme interests
As Published: 2020
conditional permitted scheme interests
251 in relation to conditional permitted links , and in respect of a firm’s business with linked policyholders , a qualified investor scheme or its EEA equivalent, or any unregulated collective invest…
restricted speculative investments
As Published: 2019
restricted speculative investments
197 any of the following investments : (1) leveraged contracts for differences ; (2) leveraged spread bets ; (3) leveraged rolling spot forex contracts (other than a future falling within limb (a) of…
restricted credit
As Published: 2001
restricted credit
a loan for which, as a result of an existing arrangement between a supplier and a firm , the customer 's application to the firm is submitted through the supplier and the terms of the loan require tha…
Banking Ombudsman scheme
As Published: 2001
Banking Ombudsman scheme
1 the former scheme set up, on a voluntary basis, to handle complaints against those banks which subscribed to it.
stock lending activity
As Published: 2001
stock lending activity
the activity of undertaking a stock lending transaction. 5…
moratorium period
As Published: 2022
moratorium period
148 the period under a funeral plan contract , as provided for in FPCOB 7 151 , during which the funeral plan provider is not obliged to provide, or secure the provision of, a funeral on the death of…
over collateralisation
As Published: 2008
over collateralisation
37 (in RCB ) (as defined in Regulation 3(3) of the RCB Regulations ) the provision of additional assets that assist the payment from the relevant asset pool of claims attaching to a regulated covered…
compensation costs levy
As Published: 2001
compensation costs levy
a levy imposed by the FSCS on participant firms to meet compensation costs , each participant firm's share being calculated in accordance with FEES 6.5 35…
UK trading venue
As Published: 2023
UK trading venue
95 for the purposes of MAR 9 (and in accordance with article 2(1)(16A) MiFIR ), a UK RIE , a UK MTF or a UK OTF .
FS claims management activity
As Published: 2021
FS claims management activity
144 one or more of any of the following activities: (1) advice, investigation or representation in relation to a financial services or financial product claim ; and (2) seeking out, referrals and iden…
list of primary information providers
As Published: 2014
list of primary information providers
60 the list of primary information providers maintained by the FCA in accordance with section 89P(4)(a) of the Act .
venture capital investment
As Published: 2001
venture capital investment
a designated investment which, at the time the investment is made, is: (a) in a new or developing company or venture; or (b) in a management buy-out or buy-in; or (c) made as a means of financing the…
authorised contractual scheme manager
As Published: 2013
authorised contractual scheme manager
a firm 154 which is the authorised fund manager of the ACS in accordance with the contractual scheme deed .
own account trading firm
As Published: 2004
own account trading firm
12 (in relation to firm type in SUP 16.10 (Confirmation of firm details 91 )) a firm that only deals or arranges deals in securities or contractually based investments for its own benefit, or for the…