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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 expert

As Published: 2005

reattribution expert

35 the expert appointed by a firm to satisfy its obligations under COBS 20.2.47 R (Reattribution expert). 54…

foreign law contract

As Published: 2011

foreign law contract

58 any contract other than a contract: (a) governed by the laws of any part of the United Kingdom ; and (b) whose parties agree to the exclusive jurisdiction of the courts of any part of the United Ki…

state monopoly

As Published: 2005

state monopoly

30 a company or other legal person which is a national of an EEA state and which: (a) in carrying on its business benefits from a monopoly right granted by an EEA state ; and (b) is set up by or pursu…

stakeholder product

As Published: 2004

stakeholder product

27 (as defined in article 52B(3) of the Regulated Activities Order ): (a) a stakeholder CTF ; or (b) a stakeholder pension scheme ; or (c) an investment of a kind specified in the Stakeholder Regulati…

Lloyd's Members' Ombudsman

As Published: 2001

Lloyd's Members' Ombudsman

the office of Ombudsman established under Lloyd's Members' Ombudsman Scheme Byelaw (No 13 of 1987). 2…

securities note

As Published: 2005

securities note

(in Part 6 rules ) a securities note referred to in PR 2.2.2 R . 34…

EZPUT

As Published: 2001

EZPUT

Enterprise Zone Property Unit Trust . 4…

insurer

As Published: 2001

insurer

5 a firm with permission to effect 48 or carry out contracts of insurance (other than a UK ISPV 48 ).

capital property

As Published: 2001

capital property

(in COLL ) the scheme property , other than income property and any amount for the time being standing to the credit of the distribution account . 3 20…

retail securitised derivative

As Published: 2002

retail securitised derivative

a securitised derivative which is not a specialist securitised derivative; in this definition, a "specialist securitised derivative" is a securitised derivative which, in accordance with the listing r…

associated call option

As Published: 2001

associated call option

4 a right to acquire a particular amount of the relevant security or of any associated security at a future date at a particular price .

dormant account fund operator

As Published: 2009

dormant account fund operator

52 a firm with permission for operating a dormant account fund .

MAR Sch 3 Fees and other required payments

As Published: 2004

MAR Sch 3 Fees and other required payments

ISD

As Published: 2001

ISD

Investment Services Directive . 5…

small payment institution

As Published: 2009

small payment institution

74 231 (in accordance with regulation 2(1) of the Payment Services Regulations ) a person included by the FSA in the FSA Register pursuant to regulation 4(1)(b) of the Payment Services Regulations .

long-term insurance asset

As Published: 2004

long-term insurance asset

13 has the meaning set out in 22 INSPRU 1.5.21R 22 .

community co-insurance operation

As Published: 2001

community co-insurance operation

an operation to which the Community Co-Insurance Directive applies, as modified by article 26 of the Second Non-Life Directive . 3…

portfolio management

As Published: 2007

portfolio management

46 managing portfolios in accordance with mandates given by clients on a discretionary client -by- client basis where such portfolios include one or more financial instruments . [Note: article 4(1)(9)…

participating security

As Published: 2001

participating security

a participating security as defined in regulation 3 of the Uncertificated Securities Regulations 1995 (SI 1995/3272), which enable title to participating securities to be evidenced otherwise than by a…

CASS Sch 3 Fees and other required payments

As Published: 2003

CASS Sch 3 Fees and other required payments