Global Glosssary: Includes FCA Definitions & Handbook references

Self-certified sophisticated investor a person who meets the requirements set out in article 23A of the Promotion of Collective Investment Schemes Order, in article 50A of the Financial Promotion Order or in COBS 4.12B.40R.

An account containing money and/or assets that is held with a central bank, central securities depository, central counterparty or any other institution acting as a settlement agent, which is used to settle transactions between participants or members of a commercial settlement system.

A single company that is not part of the same group as the single-company holding vehicle investing in it and which:

(a) …

(b) does not undertake any of the activities in COBS 4.12B.50R(2)(a) to (e) subject to COBS 4.12B.52R and COBS 4.12B.54R(1) (for these purposes, COBS 4.12B.50R(2)(a) to (e), COBS 4.12B.52R and COBS 4.12B.54R(1) must be read as though references to the issuer are to the single company)

Single company holding vehicle a single body corporate which:

(3) ensures that neither the single company, nor members of its group, will use any of the monies received from the single-company holding vehicle directly or indirectly for one or more of the purposes in COBS 4.12B.50R(2) as modified by limb (b) of the single company Glossary definition.

Programmes stored on a blockchain that offer blockchains functionality to run self-executing code to automatically enforce pre-specified terms when certain conditions are met.

Speculative illiquid security has the meaning in COBS 4.12B.50R

55X(1)(f) - when the FCA is proposing to grant an application for approver permission but subject to terms which were not sought in the application

55X(1)(g) - when the FCA is proposing to grant an application to vary the terms of a firm’s approver permission but making different changes to those sought in the application

55X(1)(e) - ...

55X(2) - when the FCA is proposing to refuse an application for the variation of a requirement imposed under section 55L or for the imposition of a new requirement

55X(2) - when the FCA is proposing to refuse an application for approver permission

55X(2) - when the FCA is proposing to refuse an application for the variation or cancellation of a firm’s approver permission

55X(4)(e) - ...

55X(4)(ea) - when the FCA is deciding to grant an application for approver permission but subject to terms which were not sought in the application

55X(4)(eb) - when the FCA is deciding to grant an application to vary the terms of a firm’s approver permission but making different changes to those sought in the application

55X(4)(f) - when the FCA is deciding to refuse an application for the variation of a requirement imposed under section 55L or for the imposition of a new requirement

55X(4)(f) - when the FCA is deciding to refuse an application for approver permission

55X(4)(f) - when the FCA is deciding to refuse an application for the variation or cancellation of a firm’s approver permission

55Z(1) 55Z(2) - when the FCA is proposing or deciding to cancel a firm’s Part 4A permission or approver permission otherwise than at its the firm’s request *

55XA(1)(f) - ...

55Y(4) 55Y(7) 55Y(8)(b) - when the FCA is proposing to exercise, is deciding to exercise or is, with immediate effect, exercising its own-initiative variation power to vary a firm’s Part 4A permission or its power to vary the terms of a firm’s approver permission or is deciding, after considering any representations made by the firm, not to rescind a variation of either sort