Term
Definition
Letter: A
ABCP internal assessment approach
- 01/01/2007
ABCP programme
- 01/01/2007
accepted channel for dissemination of information
- 01/12/2004
accepted market practice
- 01/04/2013
accepting deposits
- 01/12/2004
accepting deposits
- 01/02/2014
accident
- 01/12/2004
account
- 06/08/2009
accountable functions
- 01/04/2013
accountable significant-influence function
- 01/04/2013
accounting reference date
- 01/04/2009
accounting reference date
(1) in relation to a company incorporated in the UK under the Companies Acts, means the accounting reference date of that company determined in accordance with section 391 of the Companies Act 2006; and
(2) in relation to any other body, means the last day of its financial year.
- 02/04/2015
accredited body
- 01/02/2014
accumulating with-profits policy
- 31/12/2004
accumulation unit
- 06/03/2007
- 01/12/2004
ACS
- 23/07/2013
- 01/12/2004
acting as the depositary or sole director of an open-ended investment company
- 22/07/2014
acting as trustee of an authorised unit trust scheme
- 22/07/2014
acting as trustee or depositary of a UCITS
- 23/07/2013
acting as trustee or depositary of an AIF
- 23/07/2013
actuarial body
- 01/01/2015
actuarial body
means the Institute and Faculty of Actuaries.
- 19/06/2014
actuarial function
- 01/04/2013
actuarial health insurance
- 31/12/2006
actuarial investigation
- 31/12/2004
actuarial valuation date
- 31/12/2006
actuary
- 01/12/2004
actuary
means a fellow of an actuarial body or (in connection with general insurance business) a Fellow of the Casualty Actuarial Society who is a member of an actuarial body.
- 19/06/2014
actuating purpose
- 01/12/2004
adequate public disclosure
- 01/07/2005
administering a home finance transaction
- 01/07/2009
administering a home purchase plan
- 06/04/2007
administering a home reversion plan
- 06/04/2007
administering a regulated lifetime mortgage contract
- 01/12/2004
administering a regulated mortgage contract
- 01/12/2004
administering a regulated sale and rent back agreement
- 01/07/2009
administrative expenses
- 31/12/2004
administrative functions
- 06/11/2008
admissible asset
- 31/12/2006
admission or admission to listing
- 01/07/2005
admission to trading
- 22/12/2006
advanced IRB approach
- 01/04/2013
advanced measurement approach
- 01/04/2013
advanced prudential calculation approach
- 01/04/2013
advertisement
- 01/07/2005
adviser
- 31/12/2009
adviser charge
- 31/12/2012
advising on a home finance transaction
- 01/07/2009
advising on a home purchase plan
- 06/11/2006
advising on a home reversion plan
- 06/11/2006
advising on a regulated sale and rent back agreement
- 01/07/2009
advising on investments
- 04/08/2014
advising on investments
means the regulated activity, specified in article 53 of the Regulated Activities Order (Advising on investments).
- 03/08/2015
advising on investments (except pension transfers and pension opt-outs)
- 01/12/2004
advising on pension transfers and pension opt-outs
- 01/12/2004
advising on pension transfers and pension opt-outs
means advising on investments in respect of pension transfers and pension opt-outs.
- 03/08/2015
advising on regulated mortgage contracts
- 01/12/2004
advising on syndicate participation at Lloyd's
- 01/12/2004
affiliated company
- 01/12/2004
affiliated company
means (in relation to a person) an undertaking in the same group as that person.
- 01/02/2014
- 01/07/2011
agent
- 10/02/2011
agreeing to carry on a regulated activity
- 22/07/2014
agreeing to carry on a regulated activity
means the regulated activity, specified in article 64 of the Regulated Activities Order (Agreeing to carry on specified kinds of activity).
- 03/08/2015
- 23/07/2013
AIF
means an alternative investment fund.
- 03/08/2015
- 23/07/2013
AIFM
- 03/08/2015
AIFM investment firm
- 23/07/2013
AIFM investment management functions
- 03/08/2015
- 23/07/2013
AIFM qualifier
- 23/07/2013
AIFMD
- 23/07/2013
AIFMD
means Directive 2011/61/EU of the European Parliament and of the Council of 8 June 2011 on Alternative Investment Fund Managers and amending Directives 2003/41/EC and 2009/65/EC and Regulations (EC) No 1060/2009 and (EU) No 1095/2010.
- 03/08/2015
AIFMD host state requirements
- 23/07/2013
AIFMD level 2 regulation
- 23/07/2013
AIFMD UK regulation
- 01/01/2014
aircraft
- 01/12/2004
aircraft
means the class of contract of insurance, specified in paragraph 5 of Part I of Schedule 1 to the Regulated Activities Order.
- 03/07/2015
aircraft liability
- 01/12/2004
aircraft liability
means the class of contract of insurance, specified in paragraph 11 of Part I of Schedule 1 to the Regulated Activities Order.
- 03/07/2015
all price risk measure
- 31/12/2011
allocation period
- 01/11/2007
allotment
- 01/07/2005
alternative debenture
- 26/02/2010
alternative investment fund
- 23/07/2013
alternative investment fund
has the meaning given in article 4(1)(a) of AIFMD.
- 03/08/2015
alternative investment fund manager
- 23/07/2013
alternative investment fund manager
has the meaning given in article 4(1)(b) of AIFMD.
- 03/08/2015
alternative projection
- 01/11/2007
alternative standardised approach
- 01/04/2013
AMA
- 01/01/2007
AMA permission
- 01/01/2014
ancillary activity
- 01/12/2004
ancillary activity
means an activity which is not a regulated activity but which is:
(1) carried on in connection with a regulated activity; or
(2) held out as being for the purposes of a regulated activity.
- 19/06/2014
ancillary insurance services undertaking
- 01/01/2007
ancillary risk
- 06/10/2007
ancillary service
- 01/04/2014
ancillary service
means any of the services listed in Section B of Annex 1 to MiFID.
- 02/04/2015
ancillary services undertaking
- 01/01/2014
announceable information
- 01/12/2004
annual accounting period
- 01/04/2009
Annual Accounts
- 22/07/2014
annual audited fixed expenditure
- 22/07/2014
annual bonus
- 31/12/2004
annual budget
- 01/12/2004
annual financial statements
- 01/04/2013
annual income
- 01/01/2007
annual income allocation date
- 01/12/2004
annual percentage rate
- 01/12/2004
annual report and accounts
- 06/06/2008
annual report and accounts
means
(1) (in relation to a company incorporated in the UK) an annual report and annual accounts as those terms are defined in section 471 of the Companies Act 2006 together with an auditor's report prepared in relation to those accounts under sections 495 to 497A of the same Act;
(2) (in relation to any other body) any similar or analogous documents which it is required to prepare whether by its constitution or by the law under which it is established.
- 03/08/2015
annual statement provisions
- 06/04/2007
annualised net written premiums
- 31/12/2006
APER
- 01/12/2004
applicable provisions
- 01/12/2004
applicable sectoral consolidation rules
- 01/04/2013
applicable sectoral rules
- 01/04/2013
applicant
- 01/07/2005
appointed representative
- 01/05/2014
appointed representative
has the meaning given in s39(2) FSMA.
- 02/04/2015
Appointed Representatives Regulations
- 01/12/2004
apportionment and oversight function
- 01/04/2013
appropriate actuary
- 01/12/2004
appropriate charges information
- 31/12/2012
appropriate position risk adjustment
- 01/04/2013
appropriate regulator
- 02/04/2015
appropriate UK regulator
- 01/04/2013
appropriate valuer
- 01/04/2009
approve
- 01/12/2004
approved bank
- 01/04/2009
approved collateral
- 01/12/2004
approved counterparty
- 01/11/2007
approved credit institution
- 01/01/2014
approved depositary
- 01/12/2004
approved derivative
- 01/04/2009
approved financial institution
- 01/12/2009
approved index
- 06/05/2011
approved money-market instrument
- 23/07/2008
approved person
- 01/04/2013
approved person
means a person in relation to whom the FCA or the PRA has given its approval under section 59 of FSMA (Approval for particular arrangements) for the performance of a controlled function.
- 19/06/2014
approved quasi-derivative
- 31/12/2006
approved reinsurance to close
- 31/12/2009
approved reporting mechanism
- 01/04/2013
approved security
- 01/04/2009
approved stock lending transaction
- 31/12/2006
APR
- 01/04/2014
APR rules
- 06/04/2007
arrangement
- 01/12/2004
arranging
- 06/04/2007
arranging (bringing about) a home finance transaction
- 01/07/2009
arranging (bringing about) a home purchase plan
- 06/11/2006
arranging (bringing about) a home reversion plan
- 06/11/2006
arranging (bringing about) a regulated sale and rent back agreement
- 06/10/2009
arranging (bringing about) deals in investments
means the regulated activity specified in article 25(1) of the Regulated Activities Order.
- 03/08/2015
arranging (bringing about) deals in investments
- 04/08/2014
arranging (bringing about) regulated mortgage contracts
- 01/12/2004
arranging deals in contracts of insurance written at Lloyd's
- 01/12/2004
arranging qualifying credit
- 01/12/2004
arranging safeguarding and administration of assets
- 01/12/2004
arranging safeguarding and administration of assets
that part of safeguarding and administering investments which consists solely of arranging for one or more other persons to carry on both:
(a) the safeguarding of assets belonging to another; and
(b) the administration of those assets.
- 03/08/2015
arrears
- 06/04/2007
article 12(1) relationship
- 01/01/2014
Article 12(1) relationship
means a relationship where undertakings are linked by a relationship within the meaning of Article 12(1) of Directive 83/349 EEC.
- 03/08/2015
Article 129 implementing measure
- 01/04/2013
Article 129 permission
- 01/01/2007
Article 129 procedure
- 01/01/2007
Article 134 relationship
- 01/01/2007
article 18(5) relationship
- 01/02/2014
Article 18(5) relationship
means a relationship where undertaking are linked by participations or capital ties other than those referred to in paragraphs (1) and (2) of Article 18 of the CRR.
- 03/08/2015
assessable mutual
- 31/12/2006
asset
- 06/03/2008
asset backed commercial paper programme
- 01/01/2007
asset backed security
- 04/10/2013
asset identification rules
- 01/04/2013
asset management company
- 01/07/2011
asset pool
- 06/03/2008
asset pool monitor
- 01/01/2013
asset-related capital requirement
- 31/12/2006
assistance
- 01/12/2004
assisting in the administration and performance of a contract of insurance
- 01/12/2004
associate
- 16/05/2014
associate
means (in relation to a person ("A")):
(1) an affiliated company of A;
(2) an appointed representative of A, or a tied agent of A, or of any affiliated company of A; and
(3) any other whose business or domestic relationship with A or A’s associate might reasonably be expected to give rise to a community of interest between them which may involve a conflict of interest in dealings with third parties.
- 02/04/2015
associated call option
- 01/12/2004
associated instrument
- 01/07/2005
at the money
- 01/01/2007
attached shares
- 31/03/2012
auction regulation bidding
- 27/07/2012
Audit Directive
- 29/06/2008
AUT
- 01/12/2004
authorisation
- 01/12/2004
authorisation order
- 23/07/2013
authorised AIF
- 23/07/2013
authorised contractual scheme
- 23/07/2013
authorised corporate director
- 23/07/2013
authorised electronic money institution
- 01/04/2013
authorised fund manager
- 23/07/2013
authorised payment institution
- 01/04/2013
authorised person
- 01/04/2013
authorised person
This term is defined externally, please refer to:
s417(1) FSMA
- 02/04/2015
authorised primary dealer
- 01/11/2012
authorised primary dealer exemption
- 01/11/2012
authorised professional firm
- 01/12/2004
authorised UK representative
- 01/12/2004
authorised unit trust scheme
- 01/12/2004
authorised Voluntary Jurisdiction participant
- 01/12/2004
automatic enrolment scheme
- 01/10/2012
AVC
- 01/11/2007
average outstanding electronic money
- 10/02/2011
Letter: B
backtesting exception
- 01/01/2007
backwardation
- 01/12/2004
balance
- 06/08/2009
balancing amount
- 31/12/2006
Balancing and Settlement Code
- 01/12/2004
bank
means:
(1) a firm with a Part 4A Permission to carry on the regulated activity of accepting deposits and is a credit institution, but is not a credit union, friendly society or a building society; or
(2) an EEA bank.
- 19/06/2014
bank
- 01/04/2013
Bank Accounts Directive
- 01/12/2004
Bank of England
This term is defined externally, please refer to:
Schedule 1 Interpretation Act 1978
- 01/01/2014
banking and investment group
- 01/04/2013
banking and investment services conglomerate
- 01/01/2007
banking and investment services sector
- 01/01/2007
Banking Consolidation Directive
- 01/01/2007
banking customer
- 01/11/2009
Banking Ombudsman scheme
- 01/12/2004
banking sector
- 01/01/2007
base capital resources requirement
- 01/01/2014
base costs
- 01/04/2013
base currency
- 23/07/2013
base prospectus
- 01/07/2005
basic advice
- 01/11/2007
basic indicator approach
- 01/01/2007
basis risk
- 31/12/2004
- 01/12/2004
BCOBS
- 01/11/2009
bearer certificate
- 28/02/2014
bearer form
- 01/12/2004
behaviour
- 01/12/2004
bid price
- 06/10/2006
bidding in emissions auctions
- 27/07/2012
biofuel
- 06/08/2008
biofuel collective investment scheme
- 06/08/2008
biofuel investment
- 06/08/2008
biomass
- 06/08/2008
biomass collective investment scheme
- 06/08/2008
biomass investment
- 06/08/2008
BIPRU
- 01/01/2007
BIPRU 125K firm
- 23/07/2013
BIPRU 50K firm
- 23/07/2013
BIPRU 730K firm
- 23/07/2013
BIPRU firm
- 01/01/2014
BIPRU investment firm
- 23/07/2013
BIPRU limited activity firm
- 01/01/2007
BIPRU limited licence firm
- 01/01/2007
BIPRU Remuneration Code
SYSC 19C (BIPRU Remuneration Code).
- 01/01/2014
body corporate
- 01/02/2014
body corporate
- 01/12/2004
bonded investment
- 01/12/2004
book value of property
- 01/07/2005
borrow back
- 01/12/2004
branch
- 01/01/2014
branch
means
(1) (in relation to a credit institution):
(a) a place of business which forms a legally dependent part of a credit institution and which carries out directly all or some of the transactions inherent in the business of credit institutions;
(b) for the purposes of the CRD and in accordance with Article 38 of the CRD, any number of places of business set up in the same EEA State by a credit institution with headquarters in another EEA State are to be regarded as a single branch.
(2) (in relation to an investment firm) has the meaning given in Article 4(1)(26) of MiFID.
(3) (in relation to an insurance undertaking) any permanent presence of the insurance undertaking in an EEA State other than that in which it has its head office is to be regarded as a single branch, whether that presence consists of a single office which, or two or more offices each of which:
(a) is managed by the insurance undertaking's own staff; or
(b) is an agency of the insurance undertaking; or
(c) is managed by a person who is independent of the insurance undertaking, but has permanent authority to act for the insurance undertaking as an agency would.
(4) (in relation to an IMD insurance intermediary):
(a) a place of business which is a part of an IMD insurance intermediary, not being the principal place of business, which has no separate legal personality and which provides insurance mediation for which the IMD insurance intermediary has been registered;
(b) for the purposes of the Insurance Mediation Directive, all the places of business set up in the same EEA State by an IMD insurance intermediary with headquarters in another EEA State are to be regarded as a single branch.
(5) (in relation to an IMD reinsurance intermediary):
(a) a place of business which is a part of an IMD reinsurance intermediary, not being the principal place of business, which has no separate legal personality and which provides reinsurance mediation for which the IMD reinsurance intermediary has been registered;
(b) for the purposes of the Insurance Mediation Directive, all the places of business set up in the same EEA State by an IMD reinsurance intermediary with headquarters in another EEA State are to be regarded as a single branch.
- 03/08/2015
breach
- 01/04/2013
break fee arrangement
- 01/10/2012
bridging loan
- 26/04/2014
broker fund
- 01/12/2004
broker fund adviser
- 01/12/2004
brought forward amount
- 31/12/2006
BRRD
means Directive 2014/59/EU of the European Parliament and the Council of 15 May 2014 establishing a framework for the recovery and resolution of credit institutions and investment firms and amending Council Directive 82/891/EEC and Directives 2001/24/EC, 2002/47/EC, 2004/25/EC, 2005/56/EC, 2007/36/EC, 2011/35/EU, 2012/30/EU and 2013/36/EU , and Regulations (EU) No 1093/2010 and (EU) No 648/2012 of the European Parliament and of the Council.
- 19/01/2015
BRRD undertaking
means a CRR firm or a qualifying parent undertaking of a CRR firm.
- 19/01/2015
buffer securities restriction
- 01/12/2009
building block
- 01/07/2005
Building Societies Ombudsman scheme
- 01/12/2004
building society
- 01/01/2014
building society
- 01/12/2004
business day
- 01/12/2004
business day
means:
(1) (in relation to anything done or to be done in (including to be submitted to a place in) any part of the UK) any day which is not a Saturday or Sunday, Christmas Day, Good Friday or a bank holiday in that part of the UK;
(2) (in relation to anything done or to be done by reference to a market outside the UK) any day on which that market is normally open for business.
- 19/06/2014
business illustration
- 01/12/2004
business offer document
- 01/12/2004
Business Order
- 01/12/2004
Buy-back and Stabilisation Regulation
- 01/07/2005
buy-back programme
- 01/07/2005
buying
- 01/12/2004
byelaw
- 31/12/2006
byelaw
means any byelaw, direction, regulation, or other instrument made using the powers of the Council under section 6 of Lloyd's Act 1982 (including any regulation ratified by the Council by special resolution) and any condition or requirement made under any such byelaw, direction, regulation or other instrument.
- 03/07/2015
Letter: C
- 01/01/2007
CAD 1 model
- 01/01/2007
CAD 1 model approach
- 01/04/2013
CAD 1 model waiver
- 01/01/2007
CAD Article 22 group
- 01/01/2007
CAD full scope firm
- 01/01/2007
CAD investment firm
- 01/01/2014
callable contribution
- 31/12/2006
cancellation price
- 06/10/2006
candidate
- 01/04/2013
capacity transfer market
- 01/12/2004
capital account
- 01/04/2009
Capital Adequacy Directive
- 01/01/2007
capital instrument
- 01/02/2012
capital market-driven transaction
- 01/01/2007
capital planning buffer
- 01/01/2014
capital property
- 01/04/2009
capital redemption
- 01/12/2004
Capital Requirements Regulations
- 19/06/2014
Capital Requirements Regulations 2006
- 01/01/2007
capital resources
- 26/04/2015
capital resources gearing rules
- 01/01/2014
capital resources requirement
- 26/04/2015
capital resources table
- 01/01/2014
captive reinsurer
- 06/11/2006
- 01/07/2005
carrying out contracts of insurance
- 01/12/2004
carrying out contracts of insurance
means the regulated activity specified in article 10(2) of the Regulated Activities Order (Effecting and carrying out contracts of insurance).
- 19/06/2014
cash component
- 01/12/2004
cash deposit ISA
- 01/12/2004
cashback
- 01/12/2004
CASS
- 01/12/2004
CASS large firm
- 01/01/2011
CASS medium firm
- 01/01/2011
CASS operational oversight function
- 01/04/2013
- 01/10/2012
CASS small firm
- 01/01/2011
CAT standards
- 01/12/2004
category B firm
- 31/12/2009
category B1 firm
- 31/12/2009
category B2 firm
- 31/12/2009
category B3 firm
- 31/12/2009
causing dematerialised instructions to be sent
- 01/12/2004
CCP
- 01/07/2014
- 01/01/2007
CCR internal model method
- 01/04/2013
CCR internal model method permission
- 01/01/2014
CCR mark to market method
- 01/01/2007
CCR standardised method
- 01/01/2007
ceding insurer's waiver
- 01/06/2009
central assets
- 31/12/2006
central bank
- 01/01/2014
central counterparty
- 01/11/2007
Central Fund
- 31/12/2006
Central Fund
means the Central Fund established under Lloyd's Central Fund Byelaw (No 4 of 1986) and the New Central Fund established under Lloyd's New Central Fund Byelaw (No 23 of 1996).
- 03/07/2015
certificate representing certain securities
- 28/06/2013
certificate representing debt securities
- 26/02/2010
certificate representing equity securities
- 01/07/2005
certificate representing shares
- 01/07/2005
CESR's guidelines on a common definition of European money market funds
- 01/07/2011
CESR's UCITS eligible assets guidelines
- 23/07/2008
- 01/01/2007
CFEB
- 01/04/2013
CFEB levy
- 01/04/2013
CFPPFM
- 01/11/2007
CFTC
- 01/12/2004
charge
- 06/03/2006
chargeable case
- 09/07/2015
charity
- 20/01/2012
chief executive
- 01/12/2004
chief executive function
- 01/04/2013
Chinese wall
- 01/12/2004
circular
- 01/07/2005
CIS stakeholder product
- 06/04/2005
CIU
- 01/01/2014
CIU look through method
- 01/01/2007
CIU PRR
- 01/01/2007
claim
- 06/01/2008
claims amount
- 31/12/2006
class
- 03/07/2015
class 1 acquisition
- 01/07/2005
class 1 circular
- 01/02/2015
class 1 disposal
- 01/07/2005
- 01/01/2006
- 01/07/2005
class meeting
- 01/04/2009
class tests
- 01/07/2005
clean-up call option
- 26/04/2015
clearing facilitation service
- 01/04/2013
clearing firm
- 01/12/2004
clearing house
- 01/07/2014
client
- 01/04/2014
client
has the meaning given in the FCA Handbook other than for the purposes of the part of the FCA Handbook in Specialist sourcebooks that has the title Professional Firms.
- 02/04/2015
client asset rules
- 01/12/2004
client bank account
- 01/06/2015
client equity balance
- 01/06/2015
client money
- 03/08/2015
client money (insurance) distribution rules
- 14/01/2005
client money chapter
- 01/01/2009
client money distribution rules
- 01/01/2009
client money rules
- 01/06/2015
client money segregation requirements
- 01/06/2015
client transaction account
- 01/06/2015
client's best interests rule
- 01/11/2007
close links
- 19/06/2014
close matching rules
- 06/10/2007
close out
- 01/04/2009
close period
- 01/07/2005
close relative
- 05/12/2005
closed
- 31/12/2006
closed-ended
- 01/07/2005
closed-ended investment fund
- 28/09/2007
closely related
- 01/01/2007
closing date
- 01/12/2004
CMAR
- 01/01/2011
COB
- 01/11/2007
COBS
- 01/11/2007
Code of Market Conduct
- 01/04/2013
Code of Practice for Approved Persons
- 01/04/2013
cold call
- 01/11/2007
COLL
- 06/10/2007
collateral
- 23/07/2013
collateral rules
- 01/12/2004
collective insurance
- 06/11/2008
collective investment scheme
- 01/12/2004
collective investment undertaking other than the closed-end type
- 01/07/2005
collective investment undertaking PRR
- 01/01/2007
collective portfolio management
- 01/07/2011
collective portfolio management firm
- 23/07/2013
collective portfolio management investment firm
- 23/07/2013
COLLG
- 01/12/2004
Combined Code
- 06/08/2010
combined initial disclosure document
- 26/04/2014
commencement
- 01/12/2004
commencement day
- 01/04/2005
commission
- 14/01/2005
commission equivalent
- 01/11/2007
commitment
- 06/10/2007
commodity
- 01/11/2007
commodity extended maturity ladder approach
- 01/01/2007
commodity future
has the meaning given in the PRA Handbook as at 31 July 2015.
- 03/08/2015
commodity maturity ladder approach
- 01/01/2007
commodity option
has the meaning given in the PRA Handbook as at 31 July 2015.
- 03/08/2015
commodity PRR
- 01/01/2007
commodity simplified approach
- 01/01/2007
common platform firm
- 03/08/2015
common platform outsourcing rules
- 01/11/2007
common platform record-keeping requirements
- 01/11/2007
common platform requirements on financial crime
- 01/11/2007
communicate
- 01/11/2007
communicated to a person inside the United Kingdom
- 01/11/2007
communicated to a person outside the United Kingdom
- 01/11/2007
Community Co-Insurance Directive
- 01/12/2004
community co-insurance operation
- 01/12/2004
community finance organisation
- 01/04/2014
COMP
- 01/12/2004
company
- 01/12/2004
Company Announcements Office
- 01/12/2004
compensation fund
- 31/12/2004
compensation scheme
- 01/11/2007
compensation scheme
means the Financial Services Compensation Scheme established under section 213 of FSMA.
- 03/07/2015
compensation transitionals order
- 01/12/2004
competent authority
- 01/01/2014
competent employees rule
- 02/04/2015
complaint
- 01/04/2014
complaints data publication rules
- 06/04/2010
complaints handling rules
- 01/11/2007
complaints investigator
- 22/12/2011
complaints record rule
- 06/05/2008
complaints reporting rules
- 06/02/2008
complaints resolution rules
- 01/11/2007
complaints time barring rule
- 06/01/2010
complaints time limits rules
- 01/11/2007
compliance oversight function
- 01/04/2013
composite firm
- 31/12/2004
Compulsory Jurisdiction
- 30/04/2011
COND
- 01/12/2004
conflicts of interest policy
- 02/04/2013
conglomerate capital resources
- 10/06/2013
conglomerate capital resources requirement
- 10/06/2013
connected client
- 28/06/2013
connected contract
- 01/04/2014
connected person
- 01/04/2013
connected travel insurance contract
- 01/01/2009
connected travel insurance intermediary
- 01/01/2009
consent notice
- 01/04/2013
Consolidated Admissions and Reporting Directive
- 01/07/2005
consolidated basis
has the meaning in article 4(1)(48) of the CRR.
- 03/08/2015
consolidated capital resources
- 01/01/2007
consolidated capital resources requirement
- 01/01/2007
consolidated credit risk requirement
- 01/01/2007
consolidated fixed overheads requirement
- 01/01/2007
consolidated indirectly issued capital
- 01/01/2007
Consolidated Life Directive
- 01/12/2004
Consolidated Life Directive
means the Council Directive of 5 November 2002 on the taking-up and pursuit of the business of life assurance (No 2002/83/EC), which consolidates the provisions of the First Life Directive, the Second Life Directive and the Third Life Directive.
- 19/06/2014
Consolidated Life Directive information
- 01/11/2007
consolidated market risk requirement
- 01/01/2007
Consolidated Motor Insurance Directive
- 01/01/2011
consolidated situation
- 01/01/2014
consolidation Article 12(1) relationship
- 01/12/2004
consolidation group
- 01/01/2014
consolidation group
- 03/08/2015
constable
- 21/04/2005
constitution
- 01/07/2005
consultancy charge
- 31/12/2012
consumer
- 09/07/2015
consumer awareness rules
- 01/11/2007
Consumer Panel
- 01/04/2013
consumer redress scheme
- 01/08/2011
contingency funding plan
- 02/04/2015
contingent liability investment
- 01/12/2004
contract for differences
- 31/12/2007
contract of differences
means the investment specified in article 85 of the Regulated Activities Order.
- 03/08/2015
contract of insurance
- 14/01/2005
contract of insurance
(in relation to a specified investment) the investment, specified in article 75 of the Regulated Activities Order (Contracts of insurance), which is rights under a contract of insurance in (2) below.
(in relation to a contract) has the meaning given in Article 3(1) of the Regulated Activities Order.
- 03/08/2015
contract of significance
- 01/07/2005
contracts of general insurance
has the meaning given in article 3(1) of the Regulated Activities Order.
- 19/06/2014
contracts of large risks
- 01/12/2004
contracts of long-term insurance
has the meaning given in article 3(1) of the Regulated Activities Order.
- 19/06/2014
contractual cross product netting agreement
- 01/01/2007
contractually based investment
has the meaning provided in Article 3(1) of the Regulated Activities Order.
- 03/08/2015
contractually based investment
- 01/12/2004
control
- 23/07/2013
controlled agreement
- 01/12/2004
controlled function
- 01/04/2013
controlled function
means a function, relating to the carrying on of a regulated activity by a firm, which is specified by either the FCA or the PRA, under section 59 of FSMA (Approval for particular arrangements).