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relevant overseas USRs
As Published: 2015
relevant overseas USRs
145 the following overseas uncertificated securities regulations: (a) the Jersey Companies (Uncertificated Securities) (Jersey) Order 1999; (b) the Guernsey Uncertified Securities (Guernsey) Regulatio…
KII Regulation
As Published: 2011
KII Regulation
the UK version of 14 8 Commission Regulation (EU) No 583/2010, specifying the form and contents of key investor information , the text of which is reproduced in COLL Appendix 1UK , which is part of UK…
securities note
As Published: 2005
securities note
(in Part 6 rules ) a securities note referred to in article 6(3) of the Prospectus Regulation 116 . 34…
interest rate benchmark
As Published: 2018
interest rate benchmark
161 has the meaning in article 3.1(22) of the benchmarks regulation .
insurance undertaking
As Published: 2001
insurance undertaking
an undertaking including a member that carries on insurance business , whether or not an insurer . 134…
minor stock market index
As Published: 2019
minor stock market index
135 a stock market index which is not a major stock market index .
index-linked security
As Published: 2010
index-linked security
90 (in COLL ) a debt security for which the cash flows are determined by reference to an index of consumer prices.
commercial customer
As Published: 2004
commercial customer
17 (in PRIN , 265 ICOBS and SUP 16 246 ) a customer who is not a consumer 67 .
UK AIFM
As Published: 2013
UK AIFM
48 an AIFM established in the UK and with a Part 4A permission to carry on the regulated activity of managing an AIF .
electronic SCV rules
As Published: 2009
electronic SCV rules
(in COMP ) COMP 17.2.1 R(2) , COMP 17.2.3 R(3) and COMP 17.2.5 R , the application of which is determined by COMP 17.1 and COMP 17.2.7 R . 60…
located
As Published: 2018
located
77 in relation to administrators (as defined in the benchmarks regulation ), benchmark contributors and supervised entities , has the meaning in article 3.1(28) of the benchmarks regulation which is:…
matched principal trading
As Published: 2017
matched principal trading
118 a transaction where the facilitator interposes itself between the buyer and the seller to the transaction in such a way that it is never itself exposed to market risk throughout the execution of t…
Building Societies Ombudsman scheme
As Published: 2001
Building Societies Ombudsman scheme
1 the former scheme set up and recognised under the Building Societies Act 1986 to handle complaints about building societies .
non-executive director function
As Published: 2001
non-executive director function
69 FCA controlled function CF2 in 78 the table of FCA controlled functions , described more fully in SUP 10A.6.12 R and SUP 10A.6.13 R . 69 106…
limit of indemnity
As Published: 2003
limit of indemnity
7 8 (in MIPRU 3 , IPRU(INV) 9.2 and IPRU(INV) 13.1 ) 88 the sum available to indemnify a firm in respect of each claim made under its professional indemnity insurance.
ICOBS 4 Annex 1 Initial disclosure document [deleted]
As Published: 2016
ICOBS 4 Annex 1 Initial disclosure document [deleted]
…
EIS share
As Published: 2001
EIS share
a share in respect of which the beneficial owner may, subject to his individual circumstances, be qualified, or has been qualified, for relief under Chapter III of Part VII of the Income and Corporati…
registered society
As Published: 2017
registered society
181 a society registered or deemed to be registered under the Co-operative and Community Benefit Societies Act 2014.
FCA registered tied agent
As Published: 2013
FCA registered tied agent
154 a tied agent who is an agent for the purposes of section 39A of the Act .