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AIFM investment management functions
As Published: 2013
AIFM investment management functions
101 investment management functions of an AIFM being portfolio management or risk management 154 .
additional product
As Published: 2021
additional product
165 an optional additional product or mandatory additional product .
virtual meeting
As Published: 2024
virtual meeting
24 (in COLL 4 ) has the meaning given in COLL 4.4.1AR(3) .
relevant office-holder
As Published: 2001
relevant office-holder
a relevant office-holder as defined in section 189 of the Companies Act 1989, which is in summary: (a) the official receiver; (b) (in relation to a company) any person acting as its liquidator, provis…
relevant provisions
As Published: 2014
relevant provisions
132 in accordance with article 36A of the Regulated Activities Order , articles 60C (exempt agreements: exemptions relating to the nature of the agreement), 60D (exempt agreements: exemption relating…
specific costs
As Published: 2001
specific costs
management expenses other than base costs and establishment costs . 4…
full pension transfer or conversion advice
As Published: 2020
full pension transfer or conversion advice
132 advice on pension transfers or pension conversions (as applicable) given in accordance with COBS 19.1 (Pension transfers, conversions, and opt-outs).
credit repair firm
As Published: 2013
credit repair firm
151 a firm which carries on the activity of providing credit information services with a view to securing or advising on the correction of or omission of anything from, or making of any modification o…
approved stock lending transaction
As Published: 2004
approved stock lending transaction
21 a stock lending transaction in respect of which the conditions in 37 INSPRU 3.2.36 R 37 have been met.
shared appreciation mortgage
As Published: 2003
shared appreciation mortgage
15 a regulated mortgage contract , a condition of which is that the mortgage lender will receive a share in any increase in value in the mortgaged property when the customer either sells the property…
TC Sch 3 Fees and other required payments
As Published: 2007
TC Sch 3 Fees and other required payments
…
MCD mortgage adviser
As Published: 2015
MCD mortgage adviser
99 a mortgage adviser who, by way of business, provides a personal recommendation to a consumer in respect of MCD regulated mortgage contracts . [Note: article 4(21) of the MCD ]…
constable
As Published: 2001
constable
a police officer in the United Kingdom or a person commissioned by the Commissioners for HM Revenue and Customs. 30…
Annex 1 activities
As Published: 2019
Annex 1 activities
154 has the meaning in article 4(1)(26A) of the UK CRR .
regulated benchmark administrator
As Published: 2018
regulated benchmark administrator
185 a person who has a Part 4A permission to carry on the regulated activity of administering a benchmark .
RFCCBS
As Published: 2023
RFCCBS
223 the FCA Registration Function under the Co-operative and Community Benefit Societies Act 2014 Guide.
NURS-KII document
As Published: 2017
NURS-KII document
72 a document prepared for a retail client in a non-UCITS retail scheme which contains the key investor information required by COLL 4.7.2R (Key investor information).
holding company
As Published: 2001
holding company
(as defined in section 1159(1) 16 of the Companies Act 2006 (Meaning of "subsidiary" etc) 16 (in relation to another body corporate ("S")) a body corporate which: (a) holds a majority of the voting ri…