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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).

COLL

As Published: 2004

COLL

the Collective Investment Schemes sourcebook. 20…

SSAS

As Published: 2001

SSAS

small self-administered scheme . 5…

FINMAR

As Published: 2010

FINMAR

44 the Financial Stability and Market Confidence sourcebook.

DISP

As Published: 2001

DISP

Dispute Resolution: the Complaints sourcebook. 3…

EL

As Published: 2006

EL

34 expected loss .

BCOBS

As Published: 2009

BCOBS

32 the Banking: Conduct of Business sourcebook.

CFD

As Published: 2006

CFD

48 contract for differences .

OECD

As Published: 2001

OECD

Organisation for Economic Co-operation and Development. 4…

SETS

As Published: 2001

SETS

the Stock Exchange Electronic Trading Service. 5…

money service business

As Published: 2002

money service business

carrying on by way of business the activity of: (a) operating a bureau de change; or (b) transmitting money, or any representation of monetary value, by any means; or (c) cashing cheques which are mad…

passported activity

As Published: 2001

passported activity

an activity carried on by an EEA firm , or by a UK firm , under an EEA right . 5…

announceable information

As Published: 2001

announceable information

4 information which is usually the subject of a public announcement, although not subject to any formal disclosure requirement.

recognised clearing house

As Published: 2001

recognised clearing house

a clearing house which is declared by a recognition order for the time being in force to be a recognised clearing house. 5…

programme

As Published: 2008

programme

70 (in RCB ) (as defined in Regulation 1(2) of the RCB Regulations ) issues, or series of issues, of covered bonds which have substantially similar terms and are subject to a framework contract or con…

Swiss general insurer

As Published: 2004

Swiss general insurer

28 a Swiss general insurance company which has permission to effect or carry out contracts of insurance of a kind which is subject to the Swiss Treaty Agreement .

date of allotment

As Published: 2001

date of allotment

the date on which amounts of the relevant security are allotted to subscribers or purchasers and, where there is an initial or preliminary allotment subject to confirmation, the date of that initial o…

basic advice

As Published: 2004

basic advice

15 the regulated activity , specified in article 52B of the Regulated Activities Order (Providing basic advice on stakeholder products) which is, in summary, providing advice on stakeholder product s…

offer for subscription

As Published: 2005

offer for subscription

(in LR ) an invitation to the public by, or on behalf of, an issuer to subscribe for securities of the issuer not yet in issue or allotted (and may be in the form of an invitation to tender at or abov…

EMPS

As Published: 2001

EMPS

the Handbook Guide for energy market participants. 2 15…

SUP 10 Annex 2 Approved person regime: summary of forms and their use

As Published: 2001

SUP 10 Annex 2 Approved person regime: summary of forms and their use