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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).

innovative tier one capital

As Published: 2004

innovative tier one capital

32 an item of capital that is stated in GENPRU 2.2 (Capital resources) 52 to be innovative tier one capital.

SRB administrator

As Published: 2009

SRB administrator

78 a firm which carries on the regulated activity of administering a regulated sale and rent back agreement .

security-based CTF

As Published: 2007

security-based CTF

61 a CTF , other than a stakeholder CTF , which is not limited to deposit based investment.

pensions guidance

As Published: 2015

pensions guidance

130 the guidance made available by the Secretary of State 142 in accordance with section 333B of the Act .

GCRR

As Published: 2004

GCRR

12 group capital resources requirement .

subsisting rights

As Published: 2015

subsisting rights

135 has the meaning given in section 76 of the Pension Schemes Act 2015 which is: (a) for a member of a pension scheme : (i) any right which has accrued to or in respect of the member to future benefi…

high net worth mortgage customer

As Published: 2012

high net worth mortgage customer

28 a customer with an annual net income of no less than £300,000 or net assets of no less than £3,000,000, or whose obligations are guaranteed by a person with an income or assets of such amount.

AIF custodial assets

As Published: 2013

AIF custodial assets

101 financial instruments of an AIF that can be: (a) registered in a financial instruments account opened in the depositary's books; or (b) physically delivered to the depositary . [Note: recital 100…

delivery by value

As Published: 2001

delivery by value

a transaction type, described as "delivery by value", used to deliver and receive securities within CREST . 3…

Fourth Company Law Directive

As Published: 2008

Fourth Company Law Directive

34 Council Directive 78/660/EEC on the annual accounts of certain types of companies as amended by, amongst other instruments, Directive 2006/46/EC of the European Parliament and of the Council of 14…

dormant account

As Published: 2009

dormant account

52 51 has the meaning given in section 10 of the Dormant Bank and Building Society Accounts Act 2008, which is in summary an account that at a particular point in time: (a) has been open throughout th…

SYSC Sch 3 Fees and other required payments

As Published: 2004

SYSC Sch 3 Fees and other required payments

scheme particulars

As Published: 2001

scheme particulars

a document containing information about a regulated collective investment scheme . 5…

exempt MCD regulated mortgage contract

As Published: 2015

exempt MCD regulated mortgage contract

102 a regulated mortgage contract that is: (a) an MCD exempt bridging loan ; (b) an MCD exempt credit union loan ; (c) an MCD exempt overdraft loan ; or (d) an MCD exempt lifetime mortgage .

pension transfer specialist

As Published: 2001

pension transfer specialist

an individual who: 166 (1) has passed the required examinations as specified in TC ; and 166 (2) is employed by a firm to give advice on pension transfers, pension conversions and pension opt-outs or…

MLR person

As Published: 2017

MLR person

122 a person that is registered under the Money Laundering Regulations .

qualifying social entrepreneurship fund

As Published: 2013

qualifying social entrepreneurship fund

21 has the meaning given in article 3(b) of the EuSEF regulation .

synthetic cash

As Published: 2001

synthetic cash

a position in a derivative that offsets an exposure in property to the point where that exposure has effectively been neutralised, and the effect of the combined holding of both property and the posit…

REC Sch 5 Rights of action for damages

As Published: 2004

REC Sch 5 Rights of action for damages

third country competent authority

As Published: 2006

third country competent authority

26 a regulatory body of a state or territory that is not an EEA State .