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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).

linked fund

As Published: 2007

linked fund

29 a real or notional account to which an insurer appropriates linked assets for the purposes of their being permitted links , and which may be subdivided into units, the value of each of which is det…

CARD

As Published: 2005

CARD

Consolidated Admissions and Reporting Directive . 31…

higher rate of return

As Published: 2007

higher rate of return

15 (in COBS ) the higher rate of return described in paragraph 2.3 of the projection rules ( COBS 13 Annex 2 ).

backtesting exception

As Published: 2006

backtesting exception

23 (in BIPRU 7.10 (Use of a value at risk model)) an exception (excluding a specific risk backtesting exception ) arising out of backtesting a VaR model as more fully defined in BIPRU 7.10.103 R .

unrecognised scheme

As Published: 2005

unrecognised scheme

(in LR ) a collective investment scheme which is neither a recognised scheme nor a scheme that is constituted as an authorised unit trust scheme . 12…

equity release provider

As Published: 2006

equity release provider

31 a firm with permission (or which ought to have permission ) for: (a) entering into a regulated mortgage contract (when carried on in relation to a lifetime mortgage ); or (b) entering into a home r…

permitted immovable

As Published: 2001

permitted immovable

any interest in land or buildings 48 which falls within COLL 5.6.18 R (2) and COLL 5.6.18 R (6) (Investment in property) and which, being a leasehold interest or its equivalent, has an unexpired term…

SIFA

As Published: 2003

SIFA

the Handbook Guide: "Using the FSA Handbook: an Overview for small IFA firms" 17…

position risk requirement

As Published: 2006

position risk requirement

43 a capital requirement applied to a position treated under BIPRU 7 (Market risk) as part of the calculation of the market risk capital requirement or, if the relevant provision of the Handbook disti…

LR 18.1 Application

As Published: 2005

LR 18.1 Application

regulated sale and rent back firm

As Published: 2009

regulated sale and rent back firm

76 a firm that carries on any regulated sale and rent back activity .

material outsourcing

As Published: 2001

material outsourcing

3 outsourcing services of such importance that weakness, or failure, of the services would cast serious doubt upon the firm 's continuing satisfaction of the threshold conditions or compliance with th…

GENPRU Sch 3 Fees and other requirement payments

As Published: 2006

GENPRU Sch 3 Fees and other requirement payments

index-linked security

As Published: 2010

index-linked security

90 (in COLL ) a debt security for which the cash flows are determined by reference to an index of consumer prices.

MiFID implementing Directive

As Published: 2006

MiFID implementing Directive

39 Commission Directive No. 2006/73/EC implementing Directive 2004/39/EC of the European Parliament and of the Council as regards organisational requirements and operating conditions for investment fi…

SUP 16 Annex 32 Bidding in emissions auctions return

As Published: 2012

SUP 16 Annex 32 Bidding in emissions auctions return

electronic SCV rules

As Published: 2009

electronic SCV rules

(in COMP ) COMP 17.2.1 R(2) , COMP 17.2.3 R(3) and COMP 17.2.5 R , the application of which is determined by COMP 17.1 and COMP 17.2.7 R . 60…

counterparty risk capital component

As Published: 2006

counterparty risk capital component

48 the part of the credit risk capital requirement calculated in accordance with BIPRU 14.2.1 R (Calculation of the counterparty risk capital component).

Building Societies Ombudsman scheme

As Published: 2001

Building Societies Ombudsman scheme

1 the former scheme set up and recognised under the Building Societies Act 1986 to handle complaints about building societies .

matched principal exemption conditions

As Published: 2006

matched principal exemption conditions

40 the conditions set out in BIPRU 1.1.23 R (2) (Meaning of dealing on own account).