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

ex-section 43 lead regulated firm

As Published: 2001

ex-section 43 lead regulated firm

an ex-section 43 firm for which the FSA (in its capacity as the regulatory body under section 43 of the Financial Services Act 1986) was lead regulator for financial supervision purposes, and that was…

regulatory basis only life firm

As Published: 2004

regulatory basis only life firm

29 a firm carrying on long-term insurance business which is not a realistic basis life firm .

capital property

As Published: 2001

capital property

(in COLL and CIS ) the scheme property , other than income property and any amount for the time being standing to the credit of the distribution account . 3 20…

non-trading book

As Published: 2006

non-trading book

19 positions, exposures, assets and liabilities that are not in the trading book .

tax exempt policy

As Published: 2001

tax exempt policy

any contract of assurance, offered or issued by a friendly society , which is tax exempt life or endowment business as defined in section 466 (2) of the Income and Corporation Taxes Act 1988. 3…

BIPRU 8 Annex 3 Examples of how to identify a non-EEA sub-group

As Published: 2007

BIPRU 8 Annex 3 Examples of how to identify a non-EEA sub-group

repo

As Published: 2001

repo

(a) an agreement between a seller and buyer for the sale of securities , under which the seller agrees to repurchase the securities , or equivalent securities , at an agreed date and, usually, at a st…

current market value

As Published: 2006

current market value

48 (in accordance with Part 1 of Annex III of the Banking Consolidation Directive (Definitions) and for the purpose of BIPRU 13.5 (CCR standardised method)) the net market value of the portfolio of tr…

United Kingdom

As Published: 2001

United Kingdom

England and Wales, Scotland and Northern Ireland (but not the Channel Islands or the Isle of Man). 2…

home finance adviser

As Published: 2006

home finance adviser

8 a firm with permission (or which ought to have permission ) for advising on a home finance transaction .

Business Order

As Published: 2004

Business Order

10 the Financial Services and Markets Act 2000 (Carrying on Regulated Activities by Way of Business Order) 2001 (SI 2001/1177).

international accounting standards

As Published: 2004

international accounting standards

29 means the international accounting standards, within the meaning of EC Regulation No. 1606/2002 of the European Parliament and of the Council of 19 July 2002 on the application of international acc…

commodity extended maturity ladder approach

As Published: 2006

commodity extended maturity ladder approach

48 the method of calculating the commodity PRR in BIPRU 7.4.32 R (Extended maturity ladder approach).

interest rate simplified maturity method

As Published: 2006

interest rate simplified maturity method

52 the method of calculating the part of the interest rate PRR that relates to general market risk set out in BIPRU 7.2.56 R (General market risk calculation: Simplified maturity method).

offer price

As Published: 2001

offer price

the price at which a person could purchase a unit in a dual-priced authorised fund or a security . 25…

break fee

As Published: 2005

break fee

(in LR ) a fee payable by a listed company if certain specified events occur which have the effect of materially impeding a transaction or causing the transaction to fail. 18…

equity release intermediary

As Published: 2006

equity release intermediary

31 a firm with permission (or which ought to have permission ) to carry on equity release mediation activity .

Financial Ombudsman Service

As Published: 2001

Financial Ombudsman Service

the scheme provided under Part XVI of the Act (The Ombudsman Scheme) under which certain disputes may be resolved quickly and with minimum formality by an independent person . 2…

oil

As Published: 2001

oil

mineral oil of any description and petroleum gases, whether in liquid or vapour form, including products and derivatives of oil. 4…

equity

As Published: 2006

equity

34 (for the purposes of BIPRU 7 ) a share .