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benchmarks regulation
As Published: 2019
benchmarks regulation
the UK version of 75 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 mea…
MiFID ITS 19
As Published: 2017
MiFID ITS 19
the UK version of 132 118 Commission Implementing Regulation (EU) 2016/824 of 25 May 2016 laying down implementing technical standards with regard to the content and format of the description of the f…
TCFD Technical Supplement on the Use of Scenario Analysis
As Published: 2021
TCFD Technical Supplement on the Use of Scenario Analysis
107 the technical supplement entitled “The Use of Scenario Analysis in Disclosure of Climate-related Risks and Opportunities” published in June 2017 by the Task Force on Climate-related Financial Disc…
K-CMH requirement
As Published: 2001
K-CMH requirement
15 the part of the K-factor requirement calculated on the basis of the CMH of a MIFIDPRU investment firm in accordance with MIFIDPRU 4.8 (K-CMH requirement).
IPID information
As Published: 2018
IPID information
160 (in ICOBS ) the 192 information to be included in the IPID as required by ICOBS 6 Annex 3R , paragraph 2.1R.
class meeting
As Published: 2001
class meeting
(in COLL ) a separate meeting of holders of a class of units . 3 20…
weighted voting rights shares
As Published: 2021
weighted voting rights shares
40 shares that carry more than one vote on one or more matters to be decided at a general meeting.
Independent Investigator
As Published: 2001
Independent Investigator
the former Ombudsman under the FSA scheme . 1…
SEF
As Published: 2019
SEF
180 a qualifying social entrepreneurship fund (as defined in the SEF Regulation ).
dealing day
As Published: 2001
dealing day
(in COLL ) the period in a business day (in accordance with provisions of the prospectus ) during which the ACD or the operator is open for business. 3…
subsisting funeral plan
As Published: 2022
subsisting funeral plan
202 a funeral plan contract that was entered into before 29 July 2022 and is still in force, including a contract meeting this criterion which is transferred in circumstances where FPCOB 10.2.2R appli…
group ICARA process
As Published: 2001
group ICARA process
76 an ICARA process operated by an investment firm group in accordance with MIFIDPRU 7.9.5R .
legal expenses
As Published: 2001
legal expenses
(in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph 17 of Part I of Schedule 1 to the Regulated Activities Order (Contracts of general insura…
CBTL firm
As Published: 2015
CBTL firm
291 (1) (other than in DISP ) a person included by the FCA in the Financial Services Register pursuant to article 8(1) of the MCD Order . (2) (in DISP and FEES 5.5B ) a person 213 within (1) who is no…
standard methods of internal client money reconciliation
As Published: 2014
standard methods of internal client money reconciliation
(a) [deleted] (b) the methods of internal client money reconciliation described in CASS 7.16 . 124…
SRB agreement provider
As Published: 2009
SRB agreement provider
78 (in accordance with article 63J(3)(a) of the Regulated Activities Order ) a firm which buys all or part of the qualifying interest in land in the United Kingdom from a SRB agreement seller under a…
match made
As Published: 2022
match made
159 a positive match where the elements of data provided by a dashboard user for the purposes of the pensions dashboard matching process meet the pensions dashboard matching criteria to a degree which…