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Effective Period

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

electricity

As Published: 2001

electricity

(a) electricity in any form, including electricity as deliverable through the Balancing and Settlement Code ; (b) any right that relates to electricity, for example the right under a contract or other…

banking sector

As Published: 2004

banking sector

13 a sector composed of one or more of the following entities: (a) a credit institution ; (b) a financial institution ; and (c) an 23 ancillary services undertaking that is not an ancillary insurance…

FSA scheme

As Published: 2001

FSA scheme

the former scheme operated by the FSA under paragraph 4 of Schedule 7 to the Financial Services Act 1986 for the investigation of complaints arising out of the conduct of investment business. 1…

EMPS 2.1 These provisions have been moved to the Supervision Manual (SUP 21)

As Published: 2001

EMPS 2.1 These provisions have been moved to the Supervision Manual (SUP 21)

unauthorised person

As Published: 2001

unauthorised person

a person who is not an authorised person . 2…

assessable mutual

As Published: 2004

assessable mutual

21 (for the purposes of 37 INSPRU 1.4 37 ) a mutual where the insurance business carried on by the mutual is limited to the provision of insurance business to its members and whose articles of associa…

directed at

As Published: 2007

directed at

40 a financial promotion is directed at persons if it is addressed to persons generally (for example where it is contained in a television broadcast or web site).

third-country financial conglomerate

As Published: 2004

third-country financial conglomerate

13 a financial conglomerate that is of a type that falls under Article 5(3) of the Financial Groups Directive , which in summary is a financial conglomerate headed by a regulated entity or a mixed fin…

CIU PRR

As Published: 2006

CIU PRR

48 the collective investment undertaking PRR .

transaction-specific advice

As Published: 2001

transaction-specific advice

advice on investments : (a) given in connection with 35 : 35 (i) dealing in investments as principal ; or 35 (ii) dealing in investments as agent ; or 35 (iii) acting as an arranger; or 35 (b) with a…

individual CNCOM

As Published: 2006

individual CNCOM

52 the amount calculated with respect to an individual exposure under BIPRU 10.5.20 R (How to calculate the concentration risk capital component).

Company Announcements Office

As Published: 2001

Company Announcements Office

the Company Announcements Office of the London Stock Exchange, the information dissemination provider approved by the UKLA . 3…

risk weight

As Published: 2006

risk weight

46 (in relation to an exposure ) a degree of risk expressed as a percentage assigned to that exposure in accordance with whichever is applicable of the standardised approach to credit risk and the IRB…

advertisement

As Published: 2005

advertisement

(in PR and LR 4 ) (as defined in the PD Regulation ) announcements: (a) relating to a specific offer to the public of securities or to an admission to trading on a regulated market; and (b) aiming to…

issue price

As Published: 2001

issue price

5 (in relation to the issue of units of a dual-priced authorised fund ) the price 46 for each unit payable by the authorised fund manager to the depositary 46 on that issue .

effective EPE

As Published: 2006

effective EPE

34 effective expected positive exposure .

joint enterprise

As Published: 2001

joint enterprise

(as defined in article 3(1) of the Regulated Activities Order (Interpretation)) an enterprise into which two or more persons ("the participators") enter for commercial purposes related to a business o…

relevant general insurance contract

As Published: 2001

relevant general insurance contract

(in COMP ) any general insurance contract other than: (a) [deleted] (b) [deleted] (c) a contract falling within any of the following classes: (i) aircraft ; (ii) ships ; (iii) goods in transit ; (iv)…

VaR specific risk minimum requirements

As Published: 2006

VaR specific risk minimum requirements

8 BIPRU 7.10.46R to BIPRU 7.10.52R (Model standards: Risk factors: Specific risk) and BIPRU 7.10.107R (Backtesting: Specific risk backtesting).

interest-only mortgage

As Published: 2003

interest-only mortgage

20 a regulated mortgage contract other than a repayment mortgage .