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

EEA ISPV

As Published: 2006

EEA ISPV

32 an ISPV (including a UK ISPV ) whose head office is in any EEA State and which has received authorisation pursuant to article 46 of the Reinsurance Directive from its Home State Regulator .

IFPRU limited-licence firm

As Published: 2013

IFPRU limited-licence firm

124 124 a limited licence firm that meets the following conditions: (a) it is a firm ; and (b) its head office is in the UK and it is not otherwise excluded under IFPRU 1.1.5 R .

global account

As Published: 2001

global account

the aggregate 17 accounts produced by the Council in accordance with Regulation 8(1) of the Insurance Accounts Directive (Lloyd's Syndicate and Aggregate Accounts) Regulations 2004. 17…

credit reference agency

As Published: 2013

credit reference agency

151 a person providing credit references .

composite firm

As Published: 2004

composite firm

27 a firm that carries on both long-term insurance business and general insurance business .

upper tier two instrument

As Published: 2004

upper tier two instrument

11 a capital instrument 19 that meets the conditions in GENPRU 2.2.177 R (Upper tier two capital: General) 19 and is eligible to form part of a firm 's upper tier two capital resources .

appropriate actuary

As Published: 2001

appropriate actuary

4 an actuary appointed under PRA Rulebook: Non-Solvency II Firms – Actuarial Requirements 128 (Appointment of an appropriate actuary).

out of the money

As Published: 2006

out of the money

29 (for the purposes of BIPRU 7 (Market risk) and in relation to an option or warrant ) that option or warrant being neither at the money nor in the money .

IPRU-INV Annex D Required Forms

As Published: 2015

IPRU-INV Annex D Required Forms

traded life policy

As Published: 2001

traded life policy

a life policy which is to be or has been assigned for value by the policyholder to another person . 3…

transaction-specific advice

As Published: 2001

transaction-specific advice

advice on investments (except P2P agreements) 73 : (a) given in connection with 35 : 35 (i) dealing in investments as principal ; or 35 (ii) dealing in investments as agent ; or 35 (iii) acting as an…

VaR model

As Published: 2006

VaR model

8 a value at risk model as described in BIPRU 7.10 (Use of a Value at Risk Model).

entering into a regulated mortgage contract

As Published: 2003

entering into a regulated mortgage contract

14 16 the regulated activity , specified in article 61(1) of the Regulated Activities Order , which is in summary: entering into a regulated mortgage contract as lender. 17…

RPPD

As Published: 2007

RPPD

55 the Regulatory Guide which contains a statement of the responsibilities of providers and distributors for the fair treatment of customers .

PERG 6.1 Application

As Published: 2005

PERG 6.1 Application

stocks and shares component

As Published: 2001

stocks and shares component

a qualifying investment as prescribed in paragraph 7 of the ISA Regulations . 5…

LR 15.1 Application

As Published: 2005

LR 15.1 Application

intermediate broker

As Published: 2001

intermediate broker

(in relation to a transaction in a contingent liability investment ) any person acting in the capacity of an intermediary through whom the firm undertakes that transaction. 5…

media operator

As Published: 2014

media operator

97 a news vendor that receives regulated information from a regulatory information service and then disseminates that information to the public as soon as possible.

regulatory objectives

As Published: 2001

regulatory objectives

[deleted] 228…