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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

motor vehicle liability insurance business

As Published: 2002

motor vehicle liability insurance business

general insurance business of class 10, other than: (a) carrier's liability; (b) pure reinsurance of that class. 7…

individual member

As Published: 2001

individual member

a member , or former member , who is a natural person . 5…

minimum capital requirement

As Published: 2004

minimum capital requirement

24 an amount of capital resources that a firm must hold as set out in GENPRU 2.1.24 R and GENPRU 2.1.25 R 40 .

Complaints Commissioner

As Published: 2001

Complaints Commissioner

the person appointed by the FSA under COAF 1.3.1 G (The Complaints Commissioner) to carry out the functions conferred on him under the complaints scheme . 3…

UK pure reinsurer

As Published: 2009

UK pure reinsurer

37 a pure reinsurer whose head office is in the United Kingdom .

systematic internaliser

As Published: 2007

systematic internaliser

49 investment firm which, on an organised, frequent and systematicbasis, deals on own account by executing client orders outside a regulated market or an MTF . [Note: article 4(1)(7) of MiFID ]…

FIT Sch 6 Rules that can be waived

As Published: 2004

FIT Sch 6 Rules that can be waived

field representative

As Published: 2001

field representative

an appointed representative or, where applicable, a tied agent 30 , or an employee of the firm (or of its appointed representative or, where applicable, its tied agent 30 ), whose normal fixed place o…

PIBS

As Published: 2006

PIBS

43 permanent interest bearing shares .

dealing in investments as principal

As Published: 2001

dealing in investments as principal

the regulated activity , specified in article 14 of the Regulated Activities Order (Dealing in investments as principal), which is in summary: buying , selling , subscribing for or underwriting design…

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…

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