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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).

supervisory volatility adjustments approach

As Published: 2006

supervisory volatility adjustments approach

45 the approach to calculating volatility adjustments under the financial collateral comprehensive method under which the firm uses the adjustments specified in BIPRU 5.4 (Financial collateral) rather…

IDD IPID Regulation

As Published: 2018

IDD IPID Regulation

160 Commission Implementing Regulation (EU) 2017/1469 of 11 August laying down a standardised presentation format for the insurance product information document. [Note: See http://eur-lex.europa.eu/el…

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 .