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candidate
As Published: 2001
candidate
3 a person in respect of whom an application is made for approval under section 59 of the Act (Approval for particular arrangements) of the performance of an FCA controlled function or a PRA controlle…
EU regulation
As Published: 2017
EU regulation
119 a regulation made pursuant to article 288 of the Treaty .
readily realisable investment
As Published: 2001
readily realisable investment
119 (1) 129 (a) a packaged product ; (b) a readily realisable security . [deleted] 129…
higher rate of return
As Published: 2007
higher rate of return
15 (in COBS ) the higher rate of return described in paragraph 2.3 of the projection rules ( COBS 13 Annex 2 ).
mineral resources
As Published: 2005
mineral resources
(in UKLR 167 ) include metallic and non-metallic ores, mineral concentrates, industrial minerals, construction aggregates, mineral oils, natural gases, hydrocarbons and solid fuels including coal. 28…
relevant claims management complaint
As Published: 2019
relevant claims management complaint
190 a relevant existing claims management complaint or a relevant new claims management complaint .
COLL 4.6 Simplified Prospectus provisions [deleted]
As Published: 2007
COLL 4.6 Simplified Prospectus provisions [deleted]
…
equity release provider
As Published: 2006
equity release provider
31 a firm with permission (or which ought to have permission ) for: (a) entering into a regulated mortgage contract (when carried on in relation to a lifetime mortgage ); or (b) entering into a home r…
pensions dashboard resource server
As Published: 2022
pensions dashboard resource server
214 a computer server which hosts protected information , and which handles authorised requests for access to that information.
MAR 2.4 Stabilisation when the Buy-back and Stabilisation Regulation does not apply [deleted]
As Published: 2001
MAR 2.4 Stabilisation when the Buy-back and Stabilisation Regulation does not apply [deleted]
…
permitted immovable
As Published: 2001
permitted immovable
any interest in land or buildings 48 which falls within COLL 5.6.18 R (2) and COLL 5.6.18 R (6) (Investment in property) and which, being a leasehold interest or its equivalent, has an unexpired term…
non-personal recommendation advice
As Published: 2017
non-personal recommendation advice
109 74 (1) advice given to a person which is the regulated activity specified in article 53(1) of the Regulated Activities Order and which is not a personal recommendation . (2) for the purposes of (1…
CONRED 2 Annex 7 Letter to consumers confirming their case will be reviewed
As Published: 2013
CONRED 2 Annex 7 Letter to consumers confirming their case will be reviewed
…
FCA-approved person
As Published: 2013
FCA-approved person
152 an approved person in relation to whom the FCA has given its approval under section 59 of the Act (Approval for particular arrangements) for the performance of an FCA controlled function .
final notice
As Published: 2001
final notice
a notice given by the appropriate regulator 154 under section 390 of the Act (Final notices). 2…
internal client money reconciliation
As Published: 2014
internal client money reconciliation
132 (1) (in CASS 7 ) the client money reconciliation described in CASS 7.15.12R . 164 (2) (in CASS 13 ) the client money reconciliation described in CASS 13.10.5R to 13.10.14R . 164…
MiFID RTS 11
As Published: 2017
MiFID RTS 11
the UK version of 132 118 Commission Delegated Regulation (EU) 2017/588 of 14 July 2016 supplementing MiFID with regard to regulatory technical standards on the tick size regime for shares, depositary…
regulated sale and rent back firm
As Published: 2009
regulated sale and rent back firm
76 a firm that carries on any regulated sale and rent back activity .