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external AIFM
As Published: 2013
external AIFM
85 (in accordance with regulation 4(3)(a) of the AIFMD UK regulation ) an AIFM appointed by, or on behalf of, an AIF and which, through that appointment, is responsible for managing the AIF .
advising on a home finance transaction
As Published: 2006
advising on a home finance transaction
32 any of the regulated activities of advising on regulated mortgage contracts , advising on a home purchase plan , advising on a home reversion plan or advising on a regulated sale and rent back agre…
SUP 16 Annex 39A Consumer buy-to-let return
As Published: 2016
SUP 16 Annex 39A Consumer buy-to-let return
…
funeral plan product
As Published: 2022
funeral plan product
137 the product for distribution as a funeral plan contract to customers generally but not intended to refer to each individual funeral plan contract being sold or provided (unless the context indicat…
Seventh Company Law Directive
As Published: 2001
Seventh Company Law Directive
the Council Directive of 13 June 1983 on consolidated accounts (No 83/349/EEC). 5…
post
As Published: 2001
post
5 (in relation to sending a document by post) sending pre-paid by a postal service which seeks to deliver documents by post within the United Kingdom no later than the next working day in all or the m…
manager of the relevant scheme
As Published: 2010
manager of the relevant scheme
70 the person (including a person outside the United Kingdom ) who administers the relevant scheme or (if there is no such person ) the person responsible for making payments under it.
terms of reference
As Published: 2012
terms of reference
48 the terms of reference of a firm's with-profits committee , or the terms of appointment of the person or persons acting as the with-profits advisory arrangement , satisfying the requirements set ou…
COBS 18.8 OPS firms - non scope business [deleted]
As Published: 2007
COBS 18.8 OPS firms - non scope business [deleted]
…
EU-adopted International Financial Reporting Standards
As Published: 2019
EU-adopted International Financial Reporting Standards
137 international financial accounting standards within the meaning of EC Regulation No 1606/2002 of the European Parliament and of the Council of 19 July 2002 as adopted from time to time by the Euro…
relevant function
As Published: 2001
relevant function
(in relation to a UK recognised body ) an exempt activity or a regulatory function . 5…
applicant
As Published: 2005
applicant
(1) (in UKLR 181 ) an issuer which is applying for admission of securities . (2) (in PRR 156 ) an applicant for approval of a prospectus or supplementary prospectus relating to transferable securities…
supplementary listing particulars
As Published: 2005
supplementary listing particulars
(in UKLR 224 ) (in accordance with section 81(1) of the Act ), supplementary listing particulars containing details of the change or new matter. 34…
internal custody record check
As Published: 2014
internal custody record check
132 the safe custody assets record check described in CASS 6.6.10G (2) performed using either the internal custody reconciliation method or the internal system evaluation method .
large partnership
As Published: 2001
large partnership
69 (1) (in COMP ), a partnership with net assets of more than £1.4 million (or its equivalent in any other currency at the relevant time). (2) (except in COMP ), a partnership or unincorporated associ…
credit quality step
As Published: 2006
credit quality step
(1) [deleted] 260 173 (2) (in MIPRU ) a credit quality step in a credit quality assessment scale, as set out in MIPRU 4.2E (Use of external credit assessments). 173…
annual income
As Published: 2006
annual income
127 (1) (in MIPRU) the income referred to in MIPRU 4.3 . (2) (in IPRU(INV) 13) the income referred to in IPRU(INV) 13.14 (Calculation of annual income). 127 (3) (in FPCOB 15 ) the income referred to i…