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summary
As Published: 2005
summary
(in relation to a prospectus ) the summary included in the prospectus . 34…
dealer
As Published: 2014
dealer
87 in relation to a hire-purchase agreement , credit-sale agreement or conditional sale agreement under which this person is not the lender , a person who sells or proposes to sell goods , land or oth…
approved credit institution
As Published: 2001
approved credit institution
a credit institution recognised or permitted under the law of an EEA State or the United Kingdom 154 to carry on any of the activities set out in Annex 1 to the CRD 106 .
related person
As Published: 2015
related person
143 (in relation to a borrower or, in the case of credit provided to trustees, a beneficiary of the trust), a person who is: (a) that person's spouse or civil partner; (b) a person (whether or not of…
DISP 1 Annex 1AC FPR-Complaints – Funeral Plans complaints return
As Published: 2022
DISP 1 Annex 1AC FPR-Complaints – Funeral Plans complaints return
…
customer function
As Published: 2001
customer function
286 197 FCA controlled function CF30 in 227 the table of FCA controlled functions 197 , described more fully in SUP 10A.10.7 R . 286…
certification function
As Published: 2018
certification function
227 an FCA certification function or a PRA certification function .
motor vehicle liability
As Published: 2001
motor vehicle liability
(in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph 10 of Part I of Schedule 1 to the Regulated Activities Order (Contracts of general insura…
General Protocol
As Published: 2009
General Protocol
36 the "General Protocol relating to the collaboration of the insurance supervisory authorities of the Member States of the European Union" issued by the Committee of European Insurance and Occupation…
net negative add-back method
As Published: 2014
net negative add-back method
56 the method of calculating a firm's client money requirement described in CASS 7.16.17 R .
APER
As Published: 2001
APER
4 the part of the Handbook in High Level Standards which has the title Statements of Principle and Code of Practice for Approved Persons.
institution
As Published: 2006
institution
124 (1) (except in (2)) 180 has the meaning in article 4(1)(3) of the UK CRR 166 . (2) (for the purposes of MIFIDPRU 180 ) a UK credit institution or a UK designated investment firm 180 .
legacy funeral plan contract
As Published: 2022
legacy funeral plan contract
87 a funeral plan contract entered into before 1 January 2002.
benchmark submission function
As Published: 2013
benchmark submission function
47 FCA-controlled function CF40 in the table of FCA-controlled functions which is the function of acting in the capacity of a person who is responsible for oversight of a firm's compliance with MAR 8.
eligible complainant
As Published: 2001
eligible complainant
a person eligible to have a complaint 49 173 considered under the Financial Ombudsman Service , as defined in DISP 2.7 (Is the complainant eligible?). 49 173…
clearing firm
As Published: 2001
clearing firm
a firm which assumes primary responsibility (including legal liability) for the execution and settlement of transactions for clients . 3…
credit limit
As Published: 2013
credit limit
149 in accordance with article 60L of the Regulated Activities Order , in relation to running-account credit , as respects any period, the maximum debit balance which, under a credit agreement , is al…
making arrangements with a view to regulated mortgage contracts
As Published: 2003
making arrangements with a view to regulated mortgage contracts
11 12 the regulated activity , specified in article 25A(2) of the Regulated Activities Order , which is in summary: making arrangements with a view to a person who participates in the arrangements ent…