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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).

COMP 4.4 Exceptions: Relevant general insurance contracts: mesothelioma claims

As Published: 2006

COMP 4.4 Exceptions: Relevant general insurance contracts: mesothelioma claims

SUP 16 Annex 16 [deleted]

As Published: 2002

SUP 16 Annex 16 [deleted]

value at risk

As Published: 2006

value at risk

8 (in relation to risk modelling or estimation for the purposes of BIPRU 15 ) the measure of risk described in BIPRU 7.10.146 R (Requirement to use value at risk methodology).

MiFID RTS 11

As Published: 2017

MiFID RTS 11

118 Commission Delegated Regulation (EU) 2017/588 of 14 July 2016 supplementing MiFID with regard to regulatory technical standards on the tick size regime for shares, depositary receipts and exchange…

authorised business overdraft agreement

As Published: 2014

authorised business overdraft agreement

107 a borrower-lender agreement which provides authorisation in advance for the borrower to overdraw on a current account, where the agreement is entered into by the borrower wholly or predominantly f…

AVC

As Published: 2001

AVC

a voluntary contribution arrangement paid by a member of an occupational pension scheme under the terms of the scheme or of a separate contract. 49…

Accounting Directive

As Published: 2014

Accounting Directive

115 Directive 2013/34/EU of the European Parliament and of the Council of 26 June 2013 on the annual financial statements, consolidated financial statements and related reports of certain types of und…

permitted third party

As Published: 2001

permitted third party

a third party who is: (a) an authorised person ; or (b) an exempt person for whom an authorised person is accepting responsibility; or (c) a person lawfully carrying on a regulated activity in another…

net underwriting exposure

As Published: 2006

net underwriting exposure

19 has the meaning in BIPRU 7.8.34R (Large exposure risk from underwriting securities: Calculating the net underwriting exposure) which is in summary the amount calculated by applying the reduction fa…

investment trust savings scheme

As Published: 2001

investment trust savings scheme

(a) a dealing service (whether or not held within a pension contract ) dedicated to the securities of one or more investment trusts ; 30 (b) securities to be acquired through an investment trust savin…

asset backed security

As Published: 2005

asset backed security

(as defined in the PR Regulation 156 ) securities 97 which: (a) represent an interest in assets, including any rights intended to assure servicing, or the receipt or timeliness of receipts by holders…

making arrangements with a view to a home finance transaction

As Published: 2006

making arrangements with a view to a home finance transaction

34 any of the regulated activities of making arrangements with a view to a regulated mortgage contract , making arrangements with a view to a home reversion plan , 63 making arrangements with a view t…

institution

As Published: 2006

institution

124 (1) has the meaning in article 4(1)(3) of the EU CRR ). (2) (for the purposes of GENPRU and BIPRU ) includes a CAD investment firm .

ICOBS Sch 3 Fees and other required payments requirements

As Published: 2007

ICOBS Sch 3 Fees and other required payments requirements

AIFM remuneration principles

As Published: 2013

AIFM remuneration principles

101 the principles set out in SYSC 19B.1.5 R to SYSC 19B.1.24 R .

investment services and activities passport notification

As Published: 2017

investment services and activities passport notification

150 a notification made in accordance with article 34(2) of MiFID and MiFID ITS 4 Annex I.

own account order

As Published: 2001

own account order

an order which relates to an own account transaction . 4…

Prospectus RTS Regulation

As Published: 2019

Prospectus RTS Regulation

Commission Delegated Regulation (EU) 2019/979. 185…

professional firm

As Published: 2001

professional firm

5 2 a person which is: (a) an individual who is entitled to practise a profession regulated by a designated professional body and, in practising it, is subject to its rules, whether or not he is a mem…

published recommendation

As Published: 2001

published recommendation

5 any publication by or on behalf of a firm (including publication by sound broadcasting or television or other electronic means) which contains: (a) the results of research into investments ; or (b)…