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general insurance business
As Published: 2001
general insurance business
the business of effecting or carrying out general insurance contracts . 4…
MiFID RTS 9
As Published: 2017
MiFID RTS 9
the UK version of 132 118 Commission Delegated Regulation (EU) No No 2017/566 of 18 May 2016 supplementing MiFID with regard to regulatory technical standards on the ratio of unexecuted orders to tran…
core SMCR firm
core SMCR firm
236 a firm identified as a core SMCR firm in the flow diagram in SYSC 23 Annex 1 (Definition of SMCR firm and different types of SMCR firms).
enhanced scope SMCR firm
enhanced scope SMCR firm
142 a firm identified as an enhanced scope SMCR firm in the flow diagram in SYSC 23 Annex 1 (Definition of SMCR firm and different types of SMCR firms).
green deal plan
As Published: 2014
green deal plan
49 an arrangement by the occupier or owner of a property for a person to make energy efficient improvements to the property wholly or partly paid for in instalments, as defined in section 1 of the Ene…
Ombudsman
As Published: 2001
Ombudsman
a person appointed to the panel of persons maintained by the FOS Ltd to determine complaints, including the Chief Ombudsman. 4…
registered contact
As Published: 2004
registered contact
25 (as defined in regulation 8(1)(d) of the CTF Regulations ) the person who is capable of giving instructions to the CTF provider with respect to the management of the CTF .
claim for a specified benefit
As Published: 2019
claim for a specified benefit
228 a claim of the description specified in article 89F(2)(f) of the Regulated Activities Order (that is, a claim for certain industrial injuries benefits).
stabilisation
As Published: 2005
stabilisation
150 as defined in article 3(2)(d) of the Market Abuse Regulation 150 .
mutual
As Published: 2004
mutual
24 an insurer which: (a) if it is a body corporate has no share capital (except a wholly owned subsidiary with no share capital but limited by guarantee); or (b) is a registered friendly society or in…
PRIN Sch 3 Fees and other required payments
As Published: 2004
PRIN Sch 3 Fees and other required payments
…
non-listed company
As Published: 2013
non-listed company
51 a company which has its registered office in the UK 81 and the shares of which are not admitted to trading on a UK regulated market, as defined in article 2(1)(13A) of the MiFI Regulations 81 . [No…
SRB administrator
As Published: 2009
SRB administrator
78 a firm which carries on the regulated activity of administering a regulated sale and rent back agreement .
security-based CTF
As Published: 2007
security-based CTF
61 a CTF , other than a stakeholder CTF , which is not limited to deposit based investment.
transfer value comparator
As Published: 2020
transfer value comparator
91 comparison prepared in accordance with COBS 19.1.3AR .
TCFD Guidance on Risk Management Integration and Disclosure
As Published: 2020
TCFD Guidance on Risk Management Integration and Disclosure
97 the document entitled “Guidance on Risk Management Integration and Disclosure” published in October 2020 by the Task Force on Climate-related Financial Disclosures, available at: https://www.fsb-tc…
subsisting rights
As Published: 2015
subsisting rights
135 has the meaning given in section 76 of the Pension Schemes Act 2015 which is: (a) for a member of a pension scheme : (i) any right which has accrued to or in respect of the member to future benefi…