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

BIPRU Remuneration Code

As Published: 2013

BIPRU Remuneration Code

51 SYSC 19C (BIPRU Remuneration Code).

related investment

As Published: 2005

related investment

30 (as defined in section 130A(3) of the Act ) in relation to a qualifying investment , means an investment whose price or value depends on the price or value of the qualifying investment .

with-profits benefits reserve

As Published: 2004

with-profits benefits reserve

7 (in relation to a with-profits fund ) the with-profits benefits reserve for the with-profits fund calculated in accordance with the rules in INSPRU 1.3.116 R to INSPRU 1.3.135 G 10 .

finance

As Published: 2013

finance

71 in accordance with article 60L of the Regulated Activities Order , includes financing in whole or in part and "refinance" is to be read accordingly.

current PRA approved person approval

As Published: 2013

current PRA approved person approval

281 a current approved person approval given by the PRA .

small AIFM

As Published: 2013

small AIFM

115 an AIFM which meets the conditions in regulation 9 (meaning of "small AIFM") of the AIFMD UK regulation .

PR Sch 5 [to follow]

As Published: 2009

PR Sch 5 [to follow]

safeguarding and administration of assets (without arranging)

As Published: 2001

safeguarding and administration of assets (without arranging)

that part of safeguarding and administering investments which consists of both: (a) the safeguarding of assets belonging to another; and (b) the administration of those assets. 5…

COBS 6 Annex 4 [deleted]

As Published: 2007

COBS 6 Annex 4 [deleted]

article 18(5) relationship

As Published: 2013

article 18(5) relationship

105 the relationship where there are participations or capital ties other than those referred to in article 18(1) and 109 (4) 109 of the EU CRR (Methods for prudential consolidation).

UCITS Directive

As Published: 2001

UCITS Directive

the European Parliament and 43 Council Directive of 13 July 2009 43 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transfe…

RCB 3 Annex 2 Asset pool notification form

As Published: 2008

RCB 3 Annex 2 Asset pool notification form

investment agreement

As Published: 2001

investment agreement

any agreement the making or performance of which by either party constitutes a regulated activity , but disregarding the exclusions in Part II of the Regulated Activities Order . 5…

effecting contracts of insurance

As Published: 2001

effecting contracts of insurance

the regulated activity , specified in article 10(1) of the Regulated Activities Order (Effecting and carrying out contracts of insurance), of effecting a contract of insurance as principal. 4…

forward price

As Published: 2001

forward price

(in relation to units ) a price calculated by reference to the valuation point next following the authorised fund manager's agreement to sell or, as the case may be, to redeem the units in question. 2…

provider of credit references

As Published: 2014

provider of credit references

116 a person providing credit references who has, or ought to have, a Part 4A permission to carry on the regulated activity of providing credit references .

PRIN Sch 1 Record Keeping Requirements

As Published: 2004

PRIN Sch 1 Record Keeping Requirements

direct access

As Published: 2015

direct access

102 access to a regulated payment system to enable a payment service provider to provide services for the purposes of enabling the transfer of funds using the regulated payment system , as a result of…

competent employees rule

As Published: 2007

competent employees rule

62 (a) for a firm which is not a common platform firm , SYSC 3.1.6 R . (b) for a common platform firm , SYSC 5.1.1 R .

combination charge structure

As Published: 2015

combination charge structure

184 a charging structure used by an operator of a qualifying scheme which is solely a combination of: (a) an accrued rights charge and a flat-fee charge ; or (b) an accrued rights charge and a contrib…