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

Second Non-Life Directive

As Published: 2001

Second Non-Life Directive

the Council Directive of 22 June 1988 on the coordination of laws, etc and laying down provisions to facilitate the effective exercise of freedom to provide services and amending Directive 73/239/EEC…

person

As Published: 2001

person

(in accordance with the Interpretation Act 1978) any person, including a body of persons corporate or unincorporate (that is, a natural person, a legal person and, for example, a partnership ). 5…

net underwriting position

As Published: 2006

net underwriting position

19 the net underwriting position calculated under BIPRU 7.8.17R (Calculating the net underwriting position).

FEES 5.6 The supplementary levy

As Published: 2009

FEES 5.6 The supplementary levy

Investor Compensation Directive

As Published: 2001

Investor Compensation Directive

the Council Directive of 3 March 1997 on investor compensation schemes (No 97/9/EC). 5…

takeover bid

As Published: 2001

takeover bid

an offer, as the term is used in the Takeover Code , or any other similar conduct governed by that code. 3…

annual percentage rate

As Published: 2003

annual percentage rate

9 the annual percentage rate of charge for a contract as calculated in accordance with MCOB 10 (Annual percentage rate).

establishing, operating or winding up a stakeholder pension scheme

As Published: 2001

establishing, operating or winding up a stakeholder pension scheme

the regulated activity , specified in article 52 (a) 30 of the Regulated Activities Order (Establishing etc. a pension scheme), of establishing, operating or winding up a stakeholder pension scheme .

Central Fund

As Published: 2001

Central Fund

the Central Fund established under Lloyd's Central Fund Byelaw (No 4 of 1986) and the New Central Fund established under Lloyd's New Central Fund Byelaw (No 23 of 1996). 3…

own account transaction

As Published: 2001

own account transaction

a transaction executed by the firm for its own benefit or for the benefit of its associate . 4…

FIT Sch 1 Record keeping requirements

As Published: 2004

FIT Sch 1 Record keeping requirements

tier one capital resources

As Published: 2004

tier one capital resources

14 the sum calculated at stage F of the calculation in the capital resources table (Total tier one capital after deductions) 26 .

COBS

As Published: 2007

COBS

52 the Conduct of Business sourcebook from 1 November 2007.

accepted market practice

As Published: 2005

accepted market practice

22 (as defined in section 130A(3) of the Act ) practices that are reasonably expected in the financial market or markets in question and are accepted by the FSA or, in the case of a market situated in…

arranging (bringing about) a home reversion plan

As Published: 2006

arranging (bringing about) a home reversion plan

32 the regulated activity , specified in article 25B(1) of the Regulated Activities Order , which is in summary: making arrangements for another person to: (a) enter into a home reversion plan as reve…

plan investor

As Published: 2001

plan investor

5 a person entered in the plan register under COLL 6.4.9 R (Plan registers). 17…

simplified prospectus scheme

As Published: 2005

simplified prospectus scheme

a key features scheme in respect of which a simplified prospectus has been, or will be, produced instead of a key features document (see COBS 13.1.3R (2) ). 103…

auction regulation

As Published: 2011

auction regulation

85 Commission Regulation (EU) No 1031/2010 of 12 November 2010 on the timing, administration and other aspects of auctioning of greenhouse gas emission allowances pursuant to Directive 2003/87/EC of t…

closely related

As Published: 2006

closely related

48 (in GENPRU and BIPRU ) describes a relationship between two or more persons under which one or more of the following applies: (a) the insolvency or default of one of them is likely to be associated…

future

As Published: 2001

future

the investment , specified in article 84 of the Regulated Activities Order (Futures), which is in summary: rights under a contract for the sale of a commodity or property of any other description unde…