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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).

reattribution

As Published: 2005

reattribution

35 the process under which a firm which carries on with-profits business seeks to redefine the rights and interests that the with-profits policyholders have over the inherited estate .

credit union

As Published: 2001

credit union

a body corporate registered under the Industrial and Provident Societies Act 1965 as a credit union in accordance with the Credit Unions Act which is an authorised person or a body corporate registere…

pending application

As Published: 2001

pending application

(as defined in article 3(1) of the compensation transitionals order ): (a) an application for compensation made under an investment business compensation scheme before commencement in relation to whic…

UPRU TP 1 Transitional Provisions for UPRU

As Published: 2006

UPRU TP 1 Transitional Provisions for UPRU

recognised investment exchange

As Published: 2001

recognised investment exchange

an investment exchange which is declared by a recognition order for the time being in force to be a recognised investment exchange. 5…

mineral expert's report

As Published: 2005

mineral expert's report

(in LR ) a report prepared in accordance with the ESMA recommendations . 78 28…

Market Abuse Directive

As Published: 2005

Market Abuse Directive

26 Directive of the European Parliament and of the Council of 28 January 2003 on insider dealing and market manipulation (market abuse) (No 2003/6/EC).

offering programme

As Published: 2005

offering programme

(in PR ) (as defined in Article 2.1(k) of the prospectus directive ) a plan which would permit the issuance of non-equity securities, including warrants in any form, having a similar type and/or class…

real time financial promotion

As Published: 2001

real time financial promotion

(in accordance with article 7(1) of the Financial Promotion Order) a financial promotion made in the course of a personal visit, telephone conversation or other interactive dialogue. 5 9…

endowment assurance

As Published: 2001

endowment assurance

4 a life policy which pays a sum of money on the survival of the life assured to a specific date or on his earlier death.

consolidated requirement component

As Published: 2006

consolidated requirement component

48 has the meaning in BIPRU 8.7.11 R (Calculation of the consolidated requirement components), which in summary is one of the following: (a) the consolidated credit risk requirement ; or (b) the conso…

SUP 3 Annex 1 SUP 3 Annex 1

As Published: 2011

SUP 3 Annex 1 SUP 3 Annex 1

bearer form

As Published: 2001

bearer form

4 (in relation to a client's certificate, share transfer or other document ) in a form signed by the client so that it enables a designated investment or deposit to which it relates to be sold, transf…

contingent liability investment

As Published: 2001

contingent liability investment

a derivative under the terms of which the client will or may be liable to make further payments (other than charges , and whether or not secured by margin ) when the transaction falls to be completed…

introducing broker

As Published: 2001

introducing broker

a firm which introduces transactions relating to designated investments arranged (brought about) for its clients to a clearing firm . 5…

securities derivative

As Published: 2010

securities derivative

92 a derivative instrument admitted to trading on a regulated market or prescribed market , the value of which is dependent on an underlying equity or debt instrument or index/basket of equity or debt…

closed-ended

As Published: 2005

closed-ended

(in LR ) (in relation to investment entities) an investment company which is not an open-ended investment company . 31…

biomass investment

As Published: 2008

biomass investment

29 any of the following: (a) a unit in a biomass collective investment scheme ; (b) an option to acquire or dispose of a biomass investment ; (c) a future where the commodity in question is biomass ;…

flat rate benefits business friendly society

As Published: 2001

flat rate benefits business friendly society

a friendly society whose insurance business is restricted to the provision of benefits which vary according to the resources available and in which the contributions of members are determined on a fla…

dedicated

As Published: 2001

dedicated

(in relation to investments of an authorised fund ) intended that the holders should participate in or receive: (a) profits or income arising from the acquisition, holding, management or disposal of i…