Search Result

461 - 480 of 7337 items.
Results filter

Search Term(s)

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

medical condition exclusion

As Published: 2020

medical condition exclusion

140 an exclusion in respect of one or more medical conditions, unless the firm is satisfied, on reasonable grounds, that the exclusion is not relevant to any person covered under the policy 138 .

custody rules

As Published: 2001

custody rules

3 CASS 6 . 52 79…

accumulating with-profits policy

As Published: 2004

accumulating with-profits policy

21 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 amo…

self-invested personal pension scheme

As Published: 2006

self-invested personal pension scheme

40 an arrangement which forms all or part of a personal pension scheme , which gives the member the power to direct how some or all of the member's contributions are invested.

recognition requirement

As Published: 2001

recognition requirement

(1) (in relation to a UK RIE 229 ) any of the requirements applicable to that body under the Recognition Requirements Regulations. (2) (in relation to a body applying for recognition as a UK RIE 229 )…

successor

As Published: 2016

successor

151 (in COMP ) a person who has assumed responsibility for liabilities arising from acts or omissions of a relevant person .

approved quasi-derivative

As Published: 2004

approved quasi-derivative

21 a quasi-derivative in respect of which the conditions in 37 INSPRU 3.2.5 R 37 are met.

non-UK AIF

As Published: 2019

non-UK AIF

81 an AIF which is not a UK AIF .

MCOB Sch 4 Powers exercised

As Published: 2004

MCOB Sch 4 Powers exercised

underlying asset data

As Published: 2021

underlying asset data

94 basic data on asset holdings underlying a TCFD product , including unique security ID such as ISIN, name, holding size, and current price or valuation, as reasonably required by the relevant person…

reportable financial instrument

As Published: 2017

reportable financial instrument

172 in SUP 17A , those financial instruments in article 26(2) of MiFIR , namely: (a) financial instruments which are admitted to trading or are traded on a trading venue for which a request for admiss…

MCD mortgage administrator

As Published: 2015

MCD mortgage administrator

99 (in MCOB 7A MCOB 7A and MCOB 14) a mortgage administrator who administers MCD regulated mortgage contracts .

PRA-authorised person

As Published: 2013

PRA-authorised person

225 as defined in section 2B(5) of the Act , an authorised person who has permission: (a) given under Part 4A of the Act ; or (b) resulting from any other provision of the Act ; to carry on regulated…

CON own funds requirement

As Published: 2001

CON own funds requirement

256 the own funds requirement calculated in accordance with MIFIDPRU 5.7.2R which relates to a concentrated exposure to a client or group of connected clients .

MAR 7 Annex 1 Deferred publication thresholds and delays [deleted]

As Published: 2017

MAR 7 Annex 1 Deferred publication thresholds and delays [deleted]

non-segregated account

As Published: 2001

non-segregated account

89 (in MIFIDPRU ) an account that is not a segregated account .

minimum levy

As Published: 2001

minimum levy

(in FEES 31 ) the fixed minimum general levy payable by a firm . 3…

OEIC

As Published: 2001

OEIC

open-ended investment company .(see also ICVC .) 4…

operator acting as a PSR fee payer

As Published: 2018

operator acting as a PSR fee payer

94 an operator of a card payment system or an IFR card payment system acting as an acquirer , as a card issuer or as both an acquirer and card issuer in that payment system .

EU Exit Passport Regulations

As Published: 2019

EU Exit Passport Regulations

137 the EEA Passport Rights (Amendment, etc., and Transitional Provisions) (EU Exit) Regulations 2018, SI 2018/1149.