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

mortgage administrator

As Published: 2003

mortgage administrator

11 12 a firm with permission (or which ought to have permission ) for administering a regulated mortgage contract .

linked liabilities

As Published: 2007

linked liabilities

29 property-linked liabilities or index-linked liabilities .

DTR 1A.4 Fees

As Published: 2007

DTR 1A.4 Fees

intermediate rate of return

As Published: 2007

intermediate rate of return

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

banking and investment services conglomerate

As Published: 2006

banking and investment services conglomerate

23 a financial conglomerate that is identified in paragraph 4.3 of GENPRU 3 Annex 1 (Types of financial conglomerate) as a banking and investment services conglomerate .

vendor consideration placing

As Published: 2005

vendor consideration placing

(in LR ) a marketing, by or on behalf of vendors, of securities that have been allotted as consideration for an acquisition. 6…

equity release transaction

As Published: 2006

equity release transaction

31 a lifetime mortgage or a home reversion plan .

excess spread

As Published: 2006

excess spread

34 (for the purposes of BIPRU 9 (Securitisation), in relation to a securitisation (within the meaning of paragraph (2) of the definition of securitisation) and in accordance with Part 1 of Annex IX of…

bearer certificate

As Published: 2001

bearer certificate

4 12 (in COLL ) a certificate or other documentary evidence of title, for which provision is made in the instrument constituting the scheme , which indicates that: (a) the holder of the document is en…

regulated sale and rent back mediation activity

As Published: 2009

regulated sale and rent back mediation activity

76 any of the following regulated activities : (a) arranging (bringing about) regulated sale and rent back agreements (article 25E(1)); (b) making arrangements with a view to regulated sale and rent b…

home finance providing activity

As Published: 2006

home finance providing activity

8 any of the regulated activities of: (a) entering into a regulated mortgage contract ; (aa) entering into a regulated sale and rent back agreement ; 19 (b) entering into a home purchase plan ; (c) en…

SRB intermediary

As Published: 2010

SRB intermediary

89 a firm with permission (or which ought to have permission ) to carry on a regulated sale and rent back mediation activity .

insurance client money chapter

As Published: 2007

insurance client money chapter

57 CASS 5 .

over the counter

As Published: 2001

over the counter

(in relation to a transaction in an investment ) not on-exchange . 4…

MiFID Regulation

As Published: 2006

MiFID Regulation

39 Commission Regulation (EC) 1287/2006 implementing Directive 2004/39/EC of the European Parliament and of the Council as regards organisational requirements and operating conditions for investment f…

FSA's SCV requirements

As Published: 2009

FSA's SCV requirements

(in COMP ) the FSA's requirements with respect to single customer view . 43…

governing function

As Published: 2001

governing function

any of the controlled functions 1 to 6 26 in the table of controlled functions . 4…

exercise time

As Published: 2005

exercise time

(in LR ) (in relation to securitised derivatives ), the time stipulated by the issuer by which the holder must exercise their rights. 26…

data item

As Published: 2006

data item

One or more related data elements that are grouped together into a prescribed format and required to be submitted by a firm or other regulated entity under SUP 16 or provisions referred to in SUP 16 .

EIS subscription

As Published: 2001

EIS subscription

any money which is subscribed: (a) in the case of an EIS managed portfolio , by the client of the EIS manager whose portfolio it is; (b) in the case of an EIS fund , by the participants in the EIS . 4…