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COMP 4.4 Exceptions: Relevant general insurance contracts: mesothelioma claims
As Published: 2006
COMP 4.4 Exceptions: Relevant general insurance contracts: mesothelioma claims
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authorised business overdraft agreement
As Published: 2014
authorised business overdraft agreement
107 a borrower-lender agreement which provides authorisation in advance for the borrower to overdraw on a current account, where the agreement is entered into by the borrower wholly or predominantly f…
AVC
As Published: 2001
AVC
a voluntary contribution arrangement paid by a member of an occupational pension scheme under the terms of the scheme or of a separate contract. 49…
EU benchmarks regulation
As Published: 2019
EU benchmarks regulation
137 the EU version of Regulation (EU) No. 2016/1011 of the European Parliament and of the Council of 8 June 2016 on indices used as benchmarks in financial instruments and financial contracts or to me…
Accounting Directive
As Published: 2014
Accounting Directive
115 Directive 2013/34/EU of the European Parliament and of the Council of 26 June 2013 on the annual financial statements, consolidated financial statements and related reports of certain types of und…
permitted third party
As Published: 2001
permitted third party
a third party who is: (a) an authorised person ; or (b) an exempt person for whom an authorised person is accepting responsibility; or (c) a person lawfully carrying on a regulated activity in another…
investment trust savings scheme
As Published: 2001
investment trust savings scheme
(a) a dealing service (whether or not held within a pension contract ) dedicated to the securities of one or more investment trusts ; 30 (b) securities to be acquired through an investment trust savin…
nominated representative document
As Published: 2022
nominated representative document
88 a document in the format and containing the information in FPCOB 9 Annex 2 .
asset backed security
As Published: 2005
asset backed security
(as defined in the PR Regulation 156 ) securities 97 which: (a) represent an interest in assets, including any rights intended to assure servicing, or the receipt or timeliness of receipts by holders…
making arrangements with a view to a home finance transaction
As Published: 2006
making arrangements with a view to a home finance transaction
34 any of the regulated activities of making arrangements with a view to a regulated mortgage contract , making arrangements with a view to a home reversion plan , 63 making arrangements with a view t…
MiFID RTS 28
As Published: 2017
MiFID RTS 28
the UK version of 132 118 Commission Delegated Regulation (EU) 2017/576 of 8 July 2016 supplementing MiFID with regard to regulatory technical standards for the annual publication by investment firms…
ICOBS Sch 3 Fees and other required payments requirements
As Published: 2007
ICOBS Sch 3 Fees and other required payments requirements
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AIFM remuneration principles
As Published: 2013
AIFM remuneration principles
101 the principles set out in SYSC 19B.1.5 R to SYSC 19B.1.24 R .
own account order
As Published: 2001
own account order
an order which relates to an own account transaction . 4…
professional firm
As Published: 2001
professional firm
5 2 a person which is: (a) an individual who is entitled to practise a profession regulated by a designated professional body and, in practising it, is subject to its rules, whether or not he is a mem…
published recommendation
As Published: 2001
published recommendation
5 any publication by or on behalf of a firm (including publication by sound broadcasting or television or other electronic means) which contains: (a) the results of research into investments ; or (b)…
target date fund
As Published: 2022
target date fund
113 a fund whose investment strategy is adjusted over time based on when investors in the fund are expected to access their investment.
distribution channels
As Published: 2007
distribution channels
39 a channel through which information is, or is likely to become, publicly available. Information which is "likely to become publicly available" means information to which a large number of persons h…
IDD insurance undertaking
As Published: 2018
IDD insurance undertaking
160 an undertaking as defined in article 13(1) of the Solvency II Directive which, prior to IP completion day , would have required authorisation under that Directive 173 . [Note: article 2(1)(6) of t…