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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).

ILSA

As Published: 2009

ILSA

86 Individual Liquidity Systems Assessment .

Holloway sickness policy

As Published: 2001

Holloway sickness policy

a policy offered or effected by a friendly society under the Holloway system. 1…

Personal Insurance Arbitration Service

As Published: 2001

Personal Insurance Arbitration Service

the former scheme set up on a voluntary basis and run by the Chartered Institute of Arbitrators to handle complaints against those insurance companies which subscribed to it. 2…

Lloyd's Return

As Published: 2001

Lloyd's Return

the financial report that the Society is required to submit to the FSA under IPRU(INS) 9.48(1) 22 .

ongoing basis

As Published: 2010

ongoing basis

45 in BIPRU 9.15 , maintaining on an ongoing basis means that the retained positions, interest or exposures are not hedged or sold. [Note: BCD , Article 122a, paragraph 1]…

MTF transaction

As Published: 2007

MTF transaction

44 a transaction concluded by a firm under the rules governing an MTF with another member or participant of that MTF .

qualifying investment

As Published: 2001

qualifying investment

1 an investment which has been prescribed by the Treasury in the Prescribed Markets and Qualifying Investments Order…

tier two capital resources

As Published: 2004

tier two capital resources

14 the sum calculated at stage I (Total tier two capital) 26 of the calculation in the capital resources table 26 .

equivalent business of a third country investment firm

As Published: 2006

equivalent business of a third country investment firm

33 the business of a third country investment firm carried on from an establishment in the United Kingdom that would be MiFID business if that firm were a MiFID investment firm .

client money chapter

As Published: 2008

client money chapter

79 CASS 7 .

cash component

As Published: 2001

cash component

a qualifying investment prescribed in paragraph 8 of the ISA Regulations (Qualifying investments for a cash component). 3…

Disciplinary Tribunal

As Published: 2001

Disciplinary Tribunal

a Tribunal appointed under Schedule 2 to Lloyd's Disciplinary Committees Byelaw (No 31 of 1996). 3…

one-sided credit valuation adjustment

As Published: 2006

one-sided credit valuation adjustment

29 (in accordance with Part 1 of Annex III of the Banking Consolidation Directive (Definitions)) a credit valuation adjustment that reflects the market value of the credit risk of the counterparty to…

adequate public disclosure

As Published: 2005

adequate public disclosure

22 (as defined in Article 2 of the Buy-back and Stabilisation Regulation ) disclosure made in accordance with the procedure laid down in Articles 102(1) and 103 of the Consolidated Admissions and Repo…

MIPRU Sch 3 Fees and other required payments

As Published: 2006

MIPRU Sch 3 Fees and other required payments

receivable

As Published: 2001

receivable

(in relation to a member , a period and a premium ) a premium due to the member in respect of contracts of insurance effected during the period, whether or not the premium is received during that peri…

terminating event

As Published: 2001

terminating event

(as defined in article 2(1) of the compensation transitionals order ) in relation to applications made under an investment business compensation scheme , the withdrawal, discontinuance or rejection of…

cross border services

As Published: 2001

cross border services

(1) (in relation to a UK firm ) services provided within an EEA State other than the United Kingdom under the freedom to provide services. (2) (in relation to an incoming EEA firm or an incoming Treat…

UK parent financial holding company in a Member State

As Published: 2006

UK parent financial holding company in a Member State

19 a parent financial holding company in a Member State where the EEA State in question is the United Kingdom .

business offer document

As Published: 2003

business offer document

9 an offer document for a regulated mortgage contract that is for a business purpose.