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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).

range of stakeholder products, range

As Published: 2004

range of stakeholder products, range

28 (in relation to a firm ) the range of stakeholder products on which the firm gives advice (see COBS 9.6 57 ); References to a firm's range (or ranges) of stakeholder products include, where the con…

common platform requirements

As Published: 2006

common platform requirements

47 SYSC 4 to SYSC 10 .

regulated information

As Published: 2005

regulated information

all information which an issuer , or any other person who has applied for the admission of financial instruments to trading on a regulated market without the issuer's consent, is required to disclose…

COBS 6 Annex 3 [deleted]

As Published: 2007

COBS 6 Annex 3 [deleted]

whole life assurance

As Published: 2001

whole life assurance

a contract of insurance which, disregarding any benefit payable on surrender, secures a capital sum only on death or either on death or on disability, but does not include a term assurance. 3…

EEA UCITS management company

As Published: 2003

EEA UCITS management company

(as defined in article 1a (2) of the UCITS Directive ) any incoming EEA firm , the regular business of which is the management of UCITS in the form of unit trusts or common funds or of investment comp…

Financial Collateral Directive

As Published: 2007

Financial Collateral Directive

25 the Council Directive of 6 June 2002 relating to financial collateral arrangements (No. 2002/47/EC).

approved derivative

As Published: 2001

approved derivative

(1) (in COLL 63 ) a derivative which is traded or dealt in on an eligible derivatives market. 21 (2) (in 37 INSPRU 37 ) a derivative in respect of which the conditions in 37 INSPRU 3.2.5 R 37 are met.

SCV report

As Published: 2009

SCV report

(in COMP ) a report in accordance with COMP 17.3.9 R from the relevant firm's board of directors confirming that the firm's SCV system satisfies the FSA's SCV requirements . 86…

Principles and Practices of Financial Management

As Published: 2003

Principles and Practices of Financial Management

10 the Principles and Practices of Financial Management, containing with-profits principles and with-profits practices , 52 which a firm carrying on with-profits business must establish, maintain and…

MCOB Sch 2 Notification Requirements

As Published: 2004

MCOB Sch 2 Notification Requirements

core market participant

As Published: 2006

core market participant

48 an entity of a type listed in BIPRU 5.4.64 R (The financial collateral comprehensive method: Conditions for applying a 0% volatility adjustment).

UK group large exposure

As Published: 2002

UK group large exposure

(in ELM ) (in relation to an ELMI ) the same thing as the ELMI's EEA group large exposure except that references to its EEA consolidated group are replaced with references to its UK consolidated group…

original financing costing amount

As Published: 2004

original financing costing amount

17 (in relation to a share , debenture or other investment in, or external contribution to the capital of, a firm that is subject to a step-up ) the financing cost amount for the instrument for a peri…

market risk capital requirement

As Published: 2006

market risk capital requirement

40 the part of the capital resources requirement of a BIPRU firm in respect of market risk , calculated in accordance with GENPRU 2.1.52R (Calculation of the market risk capital requirement).

relevant date

As Published: 2003

relevant date

14 (in MCOB 10 (Annual percentage rate)): (a) (where a date is specified in or determinable under an agreement at the date of its making as the date on which the debtor is entitled to require provisio…

section 178 notice

As Published: 2009

section 178 notice

(in accordance with section 178(3) of the Act ) a notice given to the FSA under section 178 of the Act . 76…

full BCDD credit institution

As Published: 2002

full BCDD credit institution

a BCD credit institution that falls within paragraph (1) 4 (a) 35 of the definition of credit institution .

stock financing

As Published: 2006

stock financing

45 a transaction where a physical commodity is sold forward and the cost of funding is locked in until the date of the forward sale.

composite insurer

As Published: 2004

composite insurer

19 (in relation to firm type in SUP 16.10 (Confirmation of standing data )) an insurer with permission to effect or carry out both long-term insurance contracts and general insurance.