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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).

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…

PRA-designated senior management function

As Published: 2015

PRA-designated senior management function

128 a PRA controlled function that is a designated senior management function .

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

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…

ultimate EEA insurance parent undertaking

As Published: 2004

ultimate EEA insurance parent undertaking

an EEA insurance parent undertaking that is not itself the subsidiary undertaking of another EEA insurance parent undertaking .

MasterCard

As Published: 2015

MasterCard

106 the MasterCard 108 regulated payment system designated by HM Treasury under section 43 of FSBRA 108 , and the MasterCard IFR card payment system .

recognised clearing house

As Published: 2001

recognised clearing house

a clearing house which is declared by an order made by the Bank of England under section 290 or 292 of the Act and 233 for the time being in force to be a recognised clearing house. 5…

CIS stakeholder product

As Published: 2004

CIS stakeholder product

26 the stakeholder product specified by regulations 5 (units in certain collective investment schemes) and 7 of the Stakeholder Regulations .

issue

As Published: 2007

issue

(in relation to units ): 66 (1) (except in 66 EG 14 66 ) the issue of new units by the trustee of an AUT , the depositary of an ACS 112 or by an ICVC ; (2) (in 66 EG 14 66 ): 66 (a) an issue in accord…

energy

As Published: 2001

energy

coal, electricity , natural gas (or any by-product or form of any of them), 50 oil or biofuel . 50…

approved money-market instrument

As Published: 2008

approved money-market instrument

57 (in accordance with COLL 5.2.7F R ) a money-market instrument which is normally dealt in on the money market, is liquid and has a value which can be accurately determined at any time.

CASS large firm

As Published: 2010

CASS large firm

110 has the meaning in CASS 1A.2.7 R (CASS firm types).

CASS large debt management firm internal client money reconciliation

As Published: 2014

CASS large debt management firm internal client money reconciliation

157 the internal client money reconciliation that CASS large debt management firms are obliged to undertake pursuant to CASS 11.11.13 R to CASS 11.11.21 R .

SUP 10A Annex 3 [Not used]

As Published: 2013

SUP 10A Annex 3 [Not used]

real estate market adjustment ratio

As Published: 2004

real estate market adjustment ratio

29 has the meaning set out, in relation to the resilience capital requirement , in 46 INSPRU 3.1.21R 46 .

full credit institution

As Published: 2002

full credit institution

a credit institution that falls within paragraph (1) 4 (a) 35 of the definition of credit institution .

supervisory formula method

As Published: 2006

supervisory formula method

45 (for the purposes of (Securitisation), in relation to a securitisation within the meaning of paragraph (2) of the definition of securitisation and in accordance with Part 1 of Annex IX of the Banki…