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Distance Marketing Regulations
As Published: 2003
Distance Marketing Regulations
12 17 The Financial Services (Distance Marketing) Regulations 2004 (SI 2004/2095). 19…
settlement price
As Published: 2005
settlement price
(in UKLR 224 ) (in relation to securitised derivatives ), the reference price or prices of the underlying instrument or instruments stipulated by the issuer for the purposes of calculating its obligat…
client money resource
As Published: 2014
client money resource
166 the aggregate balance on the firm's client bank accounts (see CASS 7.16.8 R ).
SUP 16 Annex 34B Guidance notes for data items in SUP 16 Annex 34AR [deleted]
As Published: 2012
SUP 16 Annex 34B Guidance notes for data items in SUP 16 Annex 34AR [deleted]
…
housing disrepair claim
As Published: 2019
housing disrepair claim
44 a claim of the description specified in article 89F(2)(e) of the Regulated Activities Order .
employee benefit consultant
As Published: 2010
employee benefit consultant
65 a person that gives advice, or provides services to, an employer in connection with a group personal pension scheme or group stakeholder pension scheme provided, or to be provided, by the employer…
signpost data
As Published: 2022
signpost data
215 (in relation to pensions dashboard view data ) information comprising: (a) information on member-borne costs and charges; and (b) (where relevant) the IGC's or GAA's annual report produced under C…
statutory notice
As Published: 2001
statutory notice
a warning notice , decision notice or supervisory notice . 5…
maxi-ISA
As Published: 2001
maxi-ISA
3 an ISA which includes a stocks and shares component and may also include other qualifying investments such as: (a) a cash component ; (b) an insurance component ; as prescribed in paragraphs 7, 8 an…
UCITS management company
As Published: 2003
UCITS management company
(1) (except in relation to MiFID business ) 20 a firm which is either: (a) a UCITS firm ; or (b) a UCITS investment firm . 7 (2) (in relation to MiFID business ) a management company 81 . [Note: artic…
own funds threshold requirement
As Published: 2001
own funds threshold requirement
104 the amount of own funds that a firm needs to hold to comply with the overall financial adequacy rule .
excluded custody activities
As Published: 2014
excluded custody activities
96 any activities of a firm which: (a) are carried on in connection with, or for the purposes of, managing a UK UCITS 137 or an AIF (as the case may be); and (b) would amount to safeguarding and admin…
trading scheme order 2020
As Published: 2021
trading scheme order 2020
99 the Greenhouse Gas Emissions Trading Scheme Order 2020.
hybrid pension benefit
As Published: 2022
hybrid pension benefit
55 a benefit the rate or amount of which depends on which of two or more alternative methods of calculation produces the highest, or lowest, rate or amount.
market making strategy
As Published: 2018
market making strategy
126 a strategy undertaken by a person where: (a) the person is a member or participant of one or more trading venues ; (b) the person’s strategy, when dealing on own account , involves posting firm, s…
participating designated firm
As Published: 2024
participating designated firm
224 a designated firm that participates in cash access coordination arrangements operated or managed by a designated coordination body .
SNI MIFIDPRU investment firm
As Published: 2001
SNI MIFIDPRU investment firm
205 a MIFIDPRU investment firm that is classified as an SNI MIFIDPRU investment firm in accordance with MIFIDPRU 1.2 .