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clearing arrangement mandatory prudent segregation record
As Published: 2014
clearing arrangement mandatory prudent segregation record
166 the record created and maintained by a firm under CASS 7.13.74 R and CASS 7.13.75 R .
affiliated company
As Published: 2001
affiliated company
4 (in relation to a person ) an undertaking in the same group as that person .
limited price indexation
As Published: 2012
limited price indexation
44 in relation to appropriate pension transfer 74 analysis, benefits which increase in line with a recognised index but subject to a minimum and/or maximum rate.
PSR’s AFR
As Published: 2018
PSR’s AFR
171 the annual funding requirement of the PSR which is published by the PSR at the start of each fee year .
railway rolling stock
As Published: 2001
railway rolling stock
(in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph 5 of Part I of Schedule 1 to the Regulated Activities Order (Contracts of general insuran…
SFCR
As Published: 2015
SFCR
131 the solvency and financial condition report as detailed in the PRA Rulebook: Solvency II Firms: Reporting 3 to 6.
quarterly reporting period
As Published: 2021
quarterly reporting period
34 (in COLL ) a period determined in accordance with COLL 15.5.9R(2) (Quarterly reports).
tier 2 capital
As Published: 2013
tier 2 capital
(1) (in MIFIDPRU ) as defined in article 71 of the UK CRR , as applied and modified by MIFIDPRU 3.5 . 103 (2) (except in MIFIDPRU ) as defined in article 71 of the UK CRR . 103…
PR Regulation
As Published: 2019
PR Regulation
185 the UK version of 194 Regulation number 2019/980 of the European Commission, which is part of UK law by virtue of the EUWA 194 .
pension term assurance policy
As Published: 2006
pension term assurance policy
37 a personal pension policy which is a pure protection contract and in connection with which tax relief is available under Chapter 4 of Part 4 of the Finance Act 2004.
trader
As Published: 2015
trader
68 125 a person acting for purposes relating to that person’s trade, business, craft or profession, whether acting personally or through another person acting in his name or on his behalf. [Note: arti…
MiFID optional exemption appointed representative
As Published: 2017
MiFID optional exemption appointed representative
118 an appointed representative that acts under the full and unconditional responsibility of a MiFID optional exemption firm and that would be a tied agent if its principal were a MiFID investment fir…
custody
As Published: 2001
custody
3 (in relation to clients ' assets) safeguarding and administering investments .
CRA (EU Exit) Regulations
As Published: 2019
CRA (EU Exit) Regulations
230 the Credit Rating Agencies (Amendments etc.) (EU Exit) Regulations 2019 (SI 2019/266).
Prescribed Markets and Qualifying Investments Order
As Published: 2001
Prescribed Markets and Qualifying Investments Order
5 the Financial Services and Markets Act 2000 (Prescribed Markets and Qualifying Investments) Order 2001 (SI 2001/996).
Consumer Credit Jurisdiction
As Published: 2014
Consumer Credit Jurisdiction
the jurisdiction of the Financial Ombudsman Service which resulted 157 from section 226A (repealed) of the Act 157 .
Capital Adequacy Directive
As Published: 2001
Capital Adequacy Directive
the Directive of the European Parliament and the Council of 14 June 2006 48 on capital adequacy of investment firms and credit institutions (No 2006/49/ 48 EC).
notice period
As Published: 2021
notice period
90 (in relation to a long-term asset fund ) has the meaning given in COLL 15.8.12R(2)(f) (Dealing: redemption of units).
EEA MiFID investment firm
As Published: 2007
EEA MiFID investment firm
an EEA firm which would be a MiFID investment firm if it had its head office or registered office in the UK 137 .
evidential provision
As Published: 2001
evidential provision
a rule , contravention of which does not give rise to any of the consequences provided for by other provisions of the Act ; and which provides, in accordance with section 138C 172 of the Act , that: (…