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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).

public sector issuer

As Published: 2005

public sector issuer

27 states and their regional and local authorities, state monopolies , state finance organisations , public international bodies , statutory bodies and OECD state guaranteed issuers .

UK RIE

As Published: 2001

UK RIE

an RIE that is not an ROIE . 2…

property-linked benefits

As Published: 2004

property-linked benefits

25 benefits other than index-linked benefits provided for under a linked long-term contract of insurance .

CCAR 2010

As Published: 2014

CCAR 2010

157 Consumer Credit (Advertisements) Regulations 2010, SI 2010/1970.

core business lines

As Published: 2015

core business lines

171 business lines and associated services which represent material sources of revenue, profit or franchise value for an RRD institution or an RRD group . [Note: article 2(1)(36) of RRD ]…

rebalancing of the portfolio

As Published: 2011

rebalancing of the portfolio

99 (in COLL and in accordance with article 2(1) of the UCITS implementing Directive No 2) means a significant modification of the composition of the scheme property of a UCITS scheme or the portfolio…

MCD exempt overdraft loan

As Published: 2015

MCD exempt overdraft loan

99 a regulated mortgage contract or an article 3(1)(b) credit agreement in the form of an overdraft facility and where the credit has to be repaid within one month. [Note: articles 3(2)(d) and 4(3), (…

assistance

As Published: 2001

assistance

4 (in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph 18 of Part I of Schedule 1 to the Regulated Activities Order (Contracts of general insu…

LR 10.3

As Published: 2012

LR 10.3

category B2 firm

As Published: 2009

category B2 firm

94 a category B firm whose permission does not include dealing as principal ; and is not subject to a requirement preventing the holding or controlling of client money or custody assets .

relevant pension scheme

As Published: 2001

relevant pension scheme

a pension scheme or an additional voluntary contribution . 60…

ISA Regulations

As Published: 2001

ISA Regulations

the Individual Savings Account Regulations 1998 (SI 1998/1870). 5…

dilution levy

As Published: 2001

dilution levy

a charge of such amount or at such rate as is determined by 3 the authorised fund manager of a single-priced authorised fund 32 to be made for the purpose of reducing the effect of dilution .

DTR 2.4 Equivalent information

As Published: 2016

DTR 2.4 Equivalent information

periodic information

As Published: 2007

periodic information

46 the information identified in the table in COBS 16 Annex 2R 52 , and if the client has not elected to receive trade confirmation information on a transaction by transaction basis under COBS 16.3.3…

client-specific safe custody asset record

As Published: 2014

client-specific safe custody asset record

166 a firm 's internal record or account identifying each of the particular safe custody assets that the firm holds for each particular client (including those safe custody assets deposited by the fir…

relevant articles

As Published: 2007

relevant articles

52 (in REC ): (1) Articles 17 and 19 of the Market Abuse Regulation ; 162 (2) Articles 3, 5, 7, 8, 10, 14 and 16 of the Prospectus Directive ; (3) Articles 4 to 6, 14, 16 to 19 and 30 of the Transpare…

aircraft liability

As Published: 2001

aircraft liability

4 (in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph 11 of Part I of Schedule 1 to the Regulated Activities Order (Contracts of general insu…

repayment mortgage

As Published: 2003

repayment mortgage

14 a regulated mortgage contract under which the customer is obliged to make payments of interest and capital which are designed to repay the mortgage in full 111 over the stated term.

directive friendly society

As Published: 2001

directive friendly society

a friendly society other than a non-directive friendly society . 3…