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Effective Period

Similar To

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

relevant omission

As Published: 2016

relevant omission

163 where the insurance intermediary has failed to: (a) pay monies to an insurer ; or (b) pay monies that it has received from an insurer ; or (c) take steps to cause a contract of insurance to be eff…

capital planning buffer

As Published: 2010

capital planning buffer

(in BIPRU 2.2 or IFPRU 2) the amount and quality of capital resources that a firm should hold at a given time in accordance with the general stress and scenario testing rule , so that the firm is able…

ring-fencing

As Published: 2016

ring-fencing

165 the UK ring-fencing regime as provided for in the Act , including any statutory instruments and related FCA rules .

protected claim

As Published: 2001

protected claim

5 a claim which is covered by the compensation scheme , as defined in COMP 5.2.1 R .

BIPRU Sch 4 Powers exercised

As Published: 2006

BIPRU Sch 4 Powers exercised

CRD financial instrument

As Published: 2006

CRD financial instrument

48 has the meaning set out in BIPRU 1.2.7 R to BIPRU 1.2.8 R (CRD financial instruments), which is in summary any contract that gives rise to both a financial asset of one party and a financial liabil…

trustee firm

As Published: 2001

trustee firm

61 a firm which is not an OPS firm and which is acting as a: (a) trustee (other than for a trust of client money arising only under CASS 5.3.2 R , CASS 5.4 (Non-statutory client money trust), CASS 7.1…

SLRP

As Published: 2009

SLRP

83 the Supervisory Liquidity Review Process .

expiration date

As Published: 2005

expiration date

(in LR ) (in relation to securitised derivatives ), the date stipulated by the issuer on which the holder's rights in respect of the securitised derivative ends. 26…

MiFID RTS 6

As Published: 2017

MiFID RTS 6

118 Commission Delegated Regulation (EU) No 2017/589 of 19 July 2016 supplementing MiFID with regard to regulatory technical standards specifying the organisational requirements of investment firms en…

data set

As Published: 2006

data set

One or more data items relating to the same regulated activity . 35…

capital instrument

As Published: 2006

capital instrument

48 (in COBS , 172 GENPRU and 172 BIPRU and in relation to an undertaking ) any security issued by or loan made to that undertaking or any other investment in, or external contribution to the capital o…

Electing Participants Order

As Published: 2001

Electing Participants Order

the Financial Services and Markets Act 2000 (Compensation Scheme: Electing Participants) Regulations 2001 (SI 2001/1783). 3…

CCR standardised method

As Published: 2006

CCR standardised method

48 the method of calculating the amount of an exposure set out in BIPRU 13.5 (CCR standardised method).

dual-regulated firm

As Published: 2015

dual-regulated firm

96 (in SYSC 19D ) a firm that is UK bank 111 , a building society or a UK designated investment firm .

COCON Sch 6 Rules that can be waived

As Published: 2015

COCON Sch 6 Rules that can be waived

MAR 7.1 Application [deleted]

As Published: 2007

MAR 7.1 Application [deleted]

ICAAP

As Published: 2006

ICAAP

52 the internal capital adequacy assessment process .

Stakeholder Regulations

As Published: 2004

Stakeholder Regulations

27 the Financial Services and Markets Act 2000 (Stakeholder Products) Regulations 2004 (SI 2004/2738).

settlement price

As Published: 2005

settlement price

(in LR ) (in relation to securitised derivatives ), the reference price or prices of the underlying instrument or instruments stipulated by the issuer for the purposes of calculating its obligations t…