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

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…

probable reserves

As Published: 2005

probable reserves

(in LR ): (a) in respect of mineral companies primarily involved in the extraction of oil and gas resources, those reserves which are not yet proven but which, on the available evidence and taking int…

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

FCA-recognised industry code

As Published: 2018

FCA-recognised industry code

120 A market code prepared by a private person that prescribes or prohibits forms of conduct or behaviour in relation to activities in financial markets, recognised by the FCA under its industry code…

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…

notional principal

As Published: 2001

notional principal

(a) (in relation to a contract for differences which is an index derivative ): (i) the current mark to market valuation of a contract for differences which resembles a futures contract; or (ii) the ex…

extraordinary public financial support

As Published: 2015

extraordinary public financial support

99 State aid within article 107(1) of the Treaty , or any other public financial support at supra-national level, which, if given at national level, would constitute state aid that is given to preserv…

LR 10.6 [deleted]

As Published: 2007

LR 10.6 [deleted]