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netting
As Published: 2004
netting
13 a process by which the claims and obligations between two counterparties are offset against each other to leave a single net sum.
permitted unlisted securities
As Published: 2007
permitted unlisted securities
59 in relation to permitted links , means any investment (including a share , debt security , Treasury Bill, Tax Reserve Certificate or Certificate of Tax Deposit) that is not a listed security , but…
first charge regulated mortgage contract
As Published: 2015
first charge regulated mortgage contract
81 a regulated mortgage contract in which the mortgage on which the obligation to repay is secured is a first charge legal mortgage .
employer or trustee funded pension advice charge
As Published: 2020
employer or trustee funded pension advice charge
145 any form of charge payable by or on behalf of a trustee or an employer to a firm in relation to the provision of a personal recommendation by the firm to members of a defined benefit occupational…
open offer
As Published: 2005
open offer
(in UKLR 118 and in DTR 5 ) 47 an invitation to existing securities holders to subscribe or purchase securities in proportion to their holdings, which is not made by means of a renounceable letter (or…
excepted contract
As Published: 2009
excepted contract
57 (in BCOBS ) has the same meaning as in the Consumer Protection (Distance Selling) Regulations 2000 (SI 2000/2334).
eligible individual
As Published: 2016
eligible individual
116 has the same meaning as in article 9 of the Financial Services and Markets Act 2000 (Ring-fenced Bodies and Core Activities) Order 2014 (2014 No. 1960) http://www.legislation.gov.uk/uksi/2014/1960…
home purchase arranger
As Published: 2006
home purchase arranger
8 a firm with permission (or which ought to have permission ) for arranging a home purchase plan .
advice, investigation or representation in relation to an employment-related claim
As Published: 2019
advice, investigation or representation in relation to an employment-related claim
151 the regulated activity , specified in article 89M of the Regulated Activities Order , of each of advising a claimant or potential claimant , investigating a claim and representing a claimant , in…
non-advised client
As Published: 2022
non-advised client
97 (in COBS 19 and PROD 6 ) a retail client in relation to whom a firm has not been able to determine, on reasonable grounds, that the client has received, or will receive, a personal recommendation o…
defined benefit asset
As Published: 2005
defined benefit asset
the excess of the value of the assets in a defined benefit occupational pension scheme over the present value of the scheme liabilities, to the extent that a firm , as employer, in accordance with the…
Non-Delta Risk of Options RTS
As Published: 2001
Non-Delta Risk of Options RTS
89 Part 1 (FCA) of the UK version of Regulation (EU) No 528/2014 12 March 2014 supplementing Regulation (EU) No 575/2013 of the European Parliament and of the Council with regard to regulatory technic…
non-independent research
As Published: 2007
non-independent research
27 73 an investment recommendation that does not meet the conditions set out in article 36(1) of the MiFID Org Regulation . [Note: article 36(1) 73 of the MiFID Org Regulation 73 ]…
protected information
As Published: 2022
protected information
214 information which, whether taken on its own or together with other information disclosed by an operator of a relevant pension scheme , identifies a pensions dashboard user or enables the pensions…
FSB Compensation Standards
As Published: 2010
FSB Compensation Standards
47 the Implementation Standards for Principles for Sound Compensation Practices issued by the Financial Stability Board on 25 September 2009.
financial holding company
As Published: 2002
financial holding company
72 has the meaning in article 4(1)(20) of the UK CRR . 139…