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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).

turnover

As Published: 2007

turnover

29 (in relation to a financial instrument ) means the sum of the results of multiplying the number of units of that instrument exchanged between buyers and sellers in a defined period of time, pursuan…

specialised lending exposure

As Published: 2006

specialised lending exposure

45 (in relation to the IRB approach ) an exposure falling into BIPRU 4.5.3 R (Definition of specialised lending).

class 2 transaction

As Published: 2005

class 2 transaction

(in LR ) a transaction classified as a class 2 transaction under LR 10 . 31…

short-term money market fund

As Published: 2011

short-term money market fund

102 an authorised fund or, in the case of an umbrella , a sub-fund (if it were a separate fund) which satisfies the conditions in COLL 5.9.3 R (Investment conditions: short-term money market funds) an…

TPF rules

As Published: 2007

TPF rules

35 the rules and guidance in COBS 20.2.1 G to COBS 20.2.39 R and COBS 20.2.51 R to COBS 20.2.57 G .

UK recognised body

As Published: 2001

UK recognised body

a UK RIE or 96 RAP 46 .

home purchase adviser

As Published: 2006

home purchase adviser

8 a firm with permission (or which ought to have permission ) for advising on a home purchase plan .

deficit reduction amount

As Published: 2005

deficit reduction amount

in respect of a defined benefit occupational pension scheme , the sum, determined by a firm in conjunction with the defined benefit occupational pension scheme's actuaries or trustees (or both), of th…

PD

As Published: 2005

PD

(1) (except in GENPRU and BIPRU ) Prospectus Directive. 43 (2) (in GENPRU 80 , BIPRU and BSOCS 80 ) probability of default . 43…

call charges rule

As Published: 2015

call charges rule

181 GEN 7.2.1R .

non-UK relevant authorised person

As Published: 2015

non-UK relevant authorised person

64 (a) an EEA relevant authorised person ; or (b) a third-country relevant authorised person .

ICOBS TP 2 Other Transitional Provisions

As Published: 2014

ICOBS TP 2 Other Transitional Provisions

Prospectus Rules

As Published: 2005

Prospectus Rules

(as defined in section 73A(4) of the Act ) rules expressed to relate to transferable securities . 30…

PRA governing function

As Published: 2013

PRA governing function

224 any of the PRA controlled functions CF1 to CF6 in the table of PRA controlled functions .

designated multilateral development bank

As Published: 2009

designated multilateral development bank

56 Any of the following: (a) African Development Bank; (b) Asian Development Bank; (c) Council of Europe Development Bank; (d) European Bank for Reconstruction and Development; (e) European Investment…

common platform record-keeping requirements

As Published: 2006

common platform record-keeping requirements

the record-keeping requirements applicable to common platform firms set out in 56 47 SYSC 9 .

Financial Ombudsman Service Limited

As Published: 2001

Financial Ombudsman Service Limited

the body corporate established by the FSA under paragraph 2(1) of Schedule 17 to the Act (The Scheme Operator) (as originally enacted) 151 to administer the Financial Ombudsman Service . 2…

emissions allowance

As Published: 2012

emissions allowance

73 an 'allowance', within the meaning of article 3(a) of Directive 2003/87/EC of the European Parliament and of the Council of 13 October 2003 establishing a scheme for greenhouse gas emission allowan…

simplified prospectus

As Published: 2005

simplified prospectus

32 a marketing document containing information about a simplified prospectus scheme 54 , which complies with COLL 4.6.2R 49 (Production and publication of simplified prospectus) and COLL 4.6.8R 49 (Ta…

LR 20.2 Requirements for listing

As Published: 2010

LR 20.2 Requirements for listing