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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).

business of advising

As Published: 2017

business of advising

72 the business of a firm in providing: (1) advice on P2P agreements ; (2) in relation to advising on investments (except P2P agreements) : (a) personal recommendations ; (b) non-personal recommendati…

IFPRU 730K firm

As Published: 2013

IFPRU 730K firm

124 has the meaning in IFPRU 1.1.11 R (Types of investment firm: IFPRU 730K firm) which in summary is an IFPRU investment firm that is not a collective portfolio management investment firm , a IFPRU 5…

individual savings account

As Published: 2001

individual savings account

an account which is a scheme of investment satisfying the conditions prescribed in the ISA Regulations . 5…

life and annuity

As Published: 2001

life and annuity

(in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph I of Part II of Schedule 1 to the Regulated Activities Order (Contracts of long-term insu…

closed-ended

As Published: 2005

closed-ended

(in UKLR 282 ) (in relation to investment entities) an investment entity 255 which is not an open-ended investment company . 31…

scheme pension

As Published: 2005

scheme pension

a scheme pension, as defined in paragraph 2 of Schedule 28 to the Finance Act 2004, which is in summary a pension payable until a pension scheme member's death, or until the later of the member's deat…

dual-regulated firms remuneration principles proportionality rule

As Published: 2015

dual-regulated firms remuneration principles proportionality rule

96 SYSC 19D.3.3R which, in summary, requires a dual-regulated firm to apply the remuneration principles for dual-regulated firms in SYSC 19D proportionate to its size, internal organisation and the na…

FEES TP 13 [deleted]

As Published: 2016

FEES TP 13 [deleted]

PROD 2.12 Consulting the PRA

As Published: 2017

PROD 2.12 Consulting the PRA

scheme report

As Published: 2001

scheme report

(in SUP 18 ) the report on the terms of an insurance business transfer scheme required by section 109 of the Act (Scheme reports). 4…

cash-only lifetime ISA

As Published: 2017

cash-only lifetime ISA

210 a lifetime ISA which can include only those qualifying investments prescribed in paragraphs 8(2)(a), (b), (h), (j) and (n) to (q) of the ISA Regulations .

overseas long-term insurer

As Published: 2001

overseas long-term insurer

an insurance undertaking which is not an authorised person and which: (a) 96 (b) 96 (c) is authorised to effect or carry on long-term insurance business in the Bailiwick of Jersey, the Bailiwick of Gu…

UCITS

As Published: 2011

UCITS

43 a UCITS scheme or an EEA UCITS scheme 81 .

investment transaction

As Published: 2001

investment transaction

a transaction to buy , sell , subscribe for or underwrite a security or contractually based investment . 5…

regulated activity debt

As Published: 2004

regulated activity debt

an obligation to pay a sum due and payable under an agreement, the making or performance of which constitutes or is part of a regulated activity carried on by an individual who: (a) is, or has been, a…

foreign currency

As Published: 2002

foreign currency

143 (in relation to a firm 23 ) any currency other than the base currency .

serious ill-health

As Published: 2020

serious ill-health

188 a medical condition that is likely to reduce the life expectancy of a retail client to below age 75.

MAR Sch 4 Powers Exercised

As Published: 2009

MAR Sch 4 Powers Exercised

CCP

As Published: 2012

CCP

a legal person that interposes itself between the counterparties to the contracts traded on one or more financial markets, becoming the buyer to every seller and the seller to every buyer, as defined…

membership of a Lloyd's syndicate

As Published: 2001

membership of a Lloyd's syndicate

3 the investment , specified in article 86(2) of the Regulated Activities Order , which is a person 's membership (or prospective membership) of a Lloyd's syndicate .