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the regulated activity, specified in article 39A of the Regulated Activities Order (Assisting in the administration and performance of a contract of insurance) of assisting in the administration and performance of a contract of insurance.
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a quasi-derivative in respect of which the conditions in INSPRU 3.2.5 R are met.
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(as defined in paragraph 5 of Schedule 28 to the Finance Act 2004) income withdrawal.
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(as defined in Article 2 of the Buy-back and Stabilisation Regulation) the exercise of an overallotment facility or of a greenshoe option by investment firms or credit institutions, in the context of a significant distribution of relevant securities, exclusively for facilitating stabilisation activity.
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authorisation as an authorised person for the purposes of the Act.
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the date in any year stated in the most recently published prospectus as the date on or before which, in respect of each annual accounting period, an allocation of income is to be made.
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the regulated activity, specified in article 56 of the Regulated Activities Order (Advice on syndicate participation at Lloyd's), of advising a person to become, or continue or cease to be, a member of a particular Lloyd's syndicate.
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(in relation to a firm) a person resident in the United Kingdom who is authorised to act generally, and to accept service of any document, on behalf of the firm.
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a firm that operates an ATS or that has accepted responsibility for the operation of an ATS by an appointed representative.
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(1) (in LR) (in relation to a director, substantial shareholder, 50/50 joint venture partner or person exercising significant influence, who is an individual):(a) that individual's spouse , civil partner or child (together "the individual's family");(b) the trustees (acting as such) of any trust of which the individual or any of the individual's family is a beneficiary or discretionary object (other than a trust which is either an occupational pension scheme or an employees' share scheme which does not, in either case, have the effect of conferring benefits on persons all or most of whom are related parties;(c) any company in whose equity securities the individual or any member or members (taken together) of the individual's family or the individual and any such member or members (taken together) are directly or indirectly interested (or have a conditional or contingent entitlement to become interested) so that they are (or would on the fulfilment of the condition or the occurrence of the contingency be) able:For the purpose of paragraph (c), if more than one director of the listed company, its parent undertaking or any of is subsidiary undertakings is interested in the equity securities of another company, then the interests of those directors and their associates will be aggregated when determining whether that company is an associate of the director.(i) to exercise or control the exercise of 30% or more of the votes able to be cast at general meetings on all, or substantially all, matters; or(ii) to appoint or remove directors holding a majority of voting rights at board meetings on all, or substantially all, matters.(2) (in LR) (in relation to a substantial shareholder, 50/50 joint venture partner or person exercising significant influence, which is a company):(a) any other company which is its subsidiary undertaking or parent undertaking or fellow subsidiary undertaking of the parent undertaking;(b) any company whose directors are accustomed to act in accordance with the substantial shareholder's, 50/50 joint venture partner's or person exercising significant influence's, directions or instructions.(3) (except in LR)(in relation to a person ("A")):(a) an affiliated company of A;
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the Financial Services and Markets Act 2000 (Appointed Representatives) Regulations 2001 (SI 2001/1217).
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any form of security for the discharge of any liability arising from a contingent liability investment (other than a guarantee) which:(a) (in relation to an on-exchange transaction) is acceptable under the rules of the relevant exchange or clearing house; and(b) (in relation to an OTC transaction) would be acceptable for a similar transaction to the relevant exchange or clearing house.
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the annual percentage rate of charge for a contract as calculated in accordance with MCOB 10 (Annual percentage rate).
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a right to acquire a particular amount of the relevant security or of any associated security at a future date at a particular price.
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the regulated activity, specified in article 53A of the Regulated Activities Order, which is in summary: advising a person if the advice:(a) is given to the person in his capacity as a borrower or potential borrower; and(b) is advice on the merits of his:(i) entering into a particular regulated mortgage contract; or(ii) varying the terms of a regulated mortgage contract entered into by him on or after 31 October 2004 in such a way as to vary his obligations under that contract.
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has the meaning set out in the insurance accounts rules.
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a with-profits insurance contract which has a readily identifiable current benefit, whether or not this benefit is currently realisable, which is adjusted by an amount explicitly related to the amount of any premium payment and to which additional benefits are added in respect of participation in profits by additions directly related to the current benefit or a policy with similar characteristics.