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home purchase adviser
As Published: 2006
home purchase adviser
8 a firm with permission (or which ought to have permission ) for advising on a home purchase plan .
pensions dashboard self-asserted data
As Published: 2022
pensions dashboard self-asserted data
214 personal details a pensions dashboard user provides (including their national insurance number, previous names and addresses, email address and mobile phone number) in addition to the pensions das…
deficit reduction amount
As Published: 2005
deficit reduction amount
in respect of a defined benefit occupational pension scheme , the sum, determined by a firm in conjunction with the defined benefit occupational pension scheme's actuaries or trustees (or both), of th…
MAR 2 Annex 1 List of specified exchanges (This is the list of other specified exchanges referred to in MAR 2.2.1R(2)) [deleted]
As Published: 2016
MAR 2 Annex 1 List of specified exchanges (This is the list of other specified exchanges referred to in MAR 2.2.1R(2)) [deleted]
…
Prospectus Rules
As Published: 2005
Prospectus Rules
(as defined in section 73A(4) of the Act ) rules expressed to relate to transferable securities . 30…
investment recommendation
As Published: 2016
investment recommendation
145 as defined in article 3(1)(35) of the Market Abuse Regulation .
Financial Ombudsman Service Limited
As Published: 2001
Financial Ombudsman Service Limited
the body corporate established by the FSA under paragraph 2(1) of Schedule 17 to the Act (The Scheme Operator) (as originally enacted) 154 to administer the Financial Ombudsman Service . 2…
MiFID RTS 12
As Published: 2017
MiFID RTS 12
the UK version of 132 118 Commission Delegated Regulation (EU) No 2017/570 of 26 May 2016 supplementing MiFID with regard to regulatory technical standards on the determination of a material market in…
FCA governing functions
As Published: 2015
FCA governing functions
any of the 121 FCA controlled functions labelled as FCA governing functions in the table of FCA-designated senior management functions or in the table of FCA controlled functions . 121 121 92 85 85 83…
Gibraltar-based firm
As Published: 2021
Gibraltar-based firm
74 has the same meaning as in the Gibraltar Order .
shell company sponsor
As Published: 2024
shell company sponsor
224 (in UKLR ) as defined in UKLR 13.1.4R(3) .
important business service
As Published: 2021
important business service
177 means a service provided by a firm , or by another person on behalf of the firm , to one or more clients of the firm which, if disrupted, could: (1) cause intolerable levels of harm to any one or…
AIFM Remuneration Code staff
As Published: 2013
AIFM Remuneration Code staff
101 (for an AIFM ) has the meaning given in SYSC 19B.1.3 R .
independent director
As Published: 2014
independent director
131 a director whom an applicant 156 or listed company has determined to be independent under the UK Corporate Governance Code .
capped drawdown pension fund
As Published: 2019
capped drawdown pension fund
237 240 in accordance with paragraph 8 of schedule 28 to the Finance Act 2004, sums or assets held in a personal pension scheme or stakeholder pension scheme and designated as available for the paymen…
COBS 12.3 Non-independent research [deleted]
As Published: 2017
COBS 12.3 Non-independent research [deleted]
…
public offer
As Published: 2001
public offer
5 an offer of securities to the public and described in the POS Regulations .