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waiver
As Published: 2001
waiver
a direction waiving or modifying a rule , given by the appropriate regulator 46 under section 138A of the Act (Modification or waiver of rules) or by the FCA under sections 46 250, 261L 24 or 294 of t…
Principles and Practices of Financial Management
As Published: 2003
Principles and Practices of Financial Management
10 the Principles and Practices of Financial Management, containing with-profits principles and with-profits practices , 52 which a firm carrying on with-profits business must establish, maintain and…
MCD credit intermediary
As Published: 2015
MCD credit intermediary
99 an MCD mortgage credit intermediary or an MCD article 3(1)(b) credit intermediary . [Note: article 4(5) and (21) of the MCD ]…
flexi-access drawdown pension fund
As Published: 2019
flexi-access drawdown pension fund
129 131 in accordance with paragraph 8A of schedule 28 to the Finance Act 2004, sums or assets held in a personal pension scheme or stakeholder pension scheme and designated as available for the payme…
UK financial system
As Published: 2010
UK financial system
38 (as defined in section 1I of the Act (Meaning of "the UK financial system" 99 )) the financial system operating in the United Kingdom including: (a) financial markets and exchanges; (b) regulated a…
AIFMD BTS
As Published: 2019
AIFMD BTS
154 means the UK version of Commission Delegated Regulation (EU) No. 694/2014 supplementing Directive 2011/61/EU of the European Parliament and of the Council with regard to regulatory technical stand…
third country firm
As Published: 2017
third country firm
79 (in SYSC ) either: (a) a third country investment firm ; or (b) the UK branch of a non-UK bank 86 .
reversion arranger
As Published: 2006
reversion arranger
42 a firm with permission (or which ought to have permission ) for arranging a home reversion plan .
listed activity
As Published: 2001
listed activity
55 an activity listed in the Annex 1 Activities 79 .
Prospectus Directive
As Published: 2005
Prospectus Directive
27 the Directive of the European Parliament and of the Council of 4 November 2003 on the prospectus to be published when securities are offered to the public or admitted to trading (No 2003/71/EC).
work-related insurance
As Published: 2010
work-related insurance
18 work-related insurance, including: (a) life assurance; (b) long term disability insurance (also known as permanent health insurance); and (c) accidental death, injury, critical illness, medical, de…
Funeral Plans Order
As Published: 2022
Funeral Plans Order
137 the Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2021 (SI 2021/90).
exercise time
As Published: 2005
exercise time
(in UKLR 168 ) (in relation to securitised derivatives ), the time stipulated by the issuer by which the holder must exercise their rights. 26…
reasonable assurance engagement
As Published: 2011
reasonable assurance engagement
164 a 'reasonable assurance engagement' as described in the Glossary of terms in Financial Reporting Council: Audit and Assurance: Standards and Guidance 2014.
third country issuer
As Published: 2007
third country issuer
29 an issuer which does not have its registered office in the EEA . 40 [Note: article 2(4) of the MiFID Regulation ]…
PIA Ombudsman scheme
As Published: 2001
PIA Ombudsman scheme
5 the former scheme set up by PIA under the Financial Services Act 1986 and operated by the PIA Ombudsman Bureau Ltd to handle complaints against members of PIA .
EU-adopted international accounting standards
As Published: 2019
EU-adopted international accounting standards
137 means the international accounting standards, within the meaning of EC Regulation No. 1606/2002 of the European Parliament and of the Council of 19 July 2002 on the application of international ac…
Third Non-Life Directive
As Published: 2001
Third Non-Life Directive
the Council Directive of 18 June 1992 on the coordination of laws, etc, and amending Directives 73/239/EEC and 88/357/EEC (No 92/49/EEC). 3…