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EMPS 2.1 These provisions have been moved to the Supervision Manual (SUP 21)
As Published: 2001
EMPS 2.1 These provisions have been moved to the Supervision Manual (SUP 21)
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unauthorised person
As Published: 2001
unauthorised person
a person who is not an authorised person . 2…
non ring-fenced body
As Published: 2016
non ring-fenced body
70 has the same meaning as in article 14(3) 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/2014/1…
credit card cheque
As Published: 2014
credit card cheque
157 a cheque (whether or not drawn on a banker) which, whenever used, will result in the provision of credit under a credit-token agreement , which does not include a cheque to be used only in connect…
mandatory additional product
As Published: 2021
mandatory additional product
147 a good, service or right of any description, whether or not financial in nature, that a customer is required to obtain in connection with or alongside a non-investment insurance contract .
acknowledgement letter
As Published: 2014
acknowledgement letter
111 (in CASS 7 ) a client bank account acknowledgement letter ( a letter in the form of the template in CASS 7 Annex 2 R), a client transaction account acknowledgement letter (s a letter in the form o…
directed at
As Published: 2007
directed at
40 a financial promotion is directed at persons if it is addressed to persons generally (for example where it is contained in a television broadcast or web site).
focused resolution agreement
As Published: 2017
focused resolution agreement
108 (in DEPP ) a settlement agreement that: (1) concerns proposed enforcement action that requires the FCA to issue a warning notice ; and (2) sets out an agreed position on one or more, but not all,…
relevant credit union client
As Published: 2016
relevant credit union client
169 (in CREDS ): (a) an individual; (b) a charity which has an annual income of less than £1 million; or (c) a small business .
third country investment firm
As Published: 2006
third country investment firm
28 25 a firm which would be a MiFID investment firm if it had its head office or registered office 79 in the UK 86 .
assets outside expected RFB subgroups
As Published: 2016
assets outside expected RFB subgroups
136 the assets of a ring-fencing fees group which it has advised the PRA are 138 not intended to be held by 138 a ring-fenced body or its UK subgroup for ring-fencing purposes from 138 1 January 2019.
hypothetical profit and loss figure
As Published: 2011
hypothetical profit and loss figure
25 (in BIPRU 7.10 (Use of a value at risk model) and in relation to a business day ) the profit and loss figure that would have occurred for that business day if the portfolio on which the VaR number…
central counterparty
As Published: 2006
central counterparty
256 an entity that legally interposes itself between counterparties to contracts traded within one or more financial markets, becoming the buyer to every seller and the seller to every buyer. [Note: P…