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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).

RAP regulations

As Published: 2011

RAP regulations

205 the Recognised Auction Platforms Regulations 2011 (SI 2011/2699).

new business customer

As Published: 2021

new business customer

87 a prospective customer for a policy where the policy being taken out is not a renewal . For the purposes of this definition, renewal has the same meaning as in ICOBS 6B .

non-proportional reinsurance treaty

As Published: 2004

non-proportional reinsurance treaty

13 see proportional reinsurance treaty .

regulated lifetime mortgage contract

As Published: 2003

regulated lifetime mortgage contract

14 a regulated mortgage contract which is a lifetime mortgage .

introducer

As Published: 2001

introducer

an individual appointed by a firm , 68 an appointed representative or, where applicable, a tied agent 68 , to carry out in the course of designated investment business either or both of the following…

BIPRU 1 Annex 2D Application form to apply the IRB approach

As Published: 2007

BIPRU 1 Annex 2D Application form to apply the IRB approach

unit trust scheme

As Published: 2001

unit trust scheme

(as defined in section 237(1) of the Act (Other definitions)) a collective investment scheme under which the property in question is held on trust for the participants , except that it does not includ…

eligible ECAI

As Published: 2006

eligible ECAI

(a) [deleted] 156 101 (b) [deleted] 156 101 (c) [deleted] 156 101 (d) (in MIPRU ) an ECAI listed in the table in MIPRU 4.2E.14 R . 101…

reversion administrator

As Published: 2006

reversion administrator

42 a firm with permission (or which ought to have permission ) for administering a home reversion plan .

SUP 16 Annex 41A Payment accounts report

As Published: 2016

SUP 16 Annex 41A Payment accounts report

pensions dashboard service

As Published: 2022

pensions dashboard service

214 means a qualifying pensions dashboard service or the MaPS pensions dashboard service .

BIPRU 3 Annex 2 Regional governments and local authorities eligible for the treatment in BIPRU 3.4.15R

As Published: 2007

BIPRU 3 Annex 2 Regional governments and local authorities eligible for the treatment in BIPRU 3.4.15R

carried interest

As Published: 2013

carried interest

148 a share in the profits of the AIF accrued to the AIFM as compensation for the management of the AIF , and excluding any share in the profits of the AIF accrued to the AIFM as a return on any inves…

OECD state guaranteed issuer

As Published: 2005

OECD state guaranteed issuer

19 an issuer of debt securities whose obligations in relation to those securities have been guaranteed by a member state of the OECD .

MiFID Org Regulation firm

As Published: 2017

MiFID Org Regulation firm

118 a firm to which the MiFID Org Regulation is directly applicable.

unrestricted-use credit agreement

As Published: 2013

unrestricted-use credit agreement

52 a credit agreement which is not a restricted-use credit agreement .

pension commencement lump sum

As Published: 2019

pension commencement lump sum

179 has the meaning in Part 1 of Schedule 29 to the Finance Act 2004. [Note: http://www.legislation.gov.uk/ukpga/2004/12/schedule/29/part/1 ]…

ESMA MAR delayed disclosure guidelines

As Published: 2017

ESMA MAR delayed disclosure guidelines

123 ESMA’s guidelines on ‘Delay in the disclosure of inside information’ (ESMA 2016/1478) dated 20 October 2016 137 .

PPI claims management fee cap

As Published: 2021

PPI claims management fee cap

the provisions in sections 29 and 31of the Financial Guidance and Claims Act 2018 (see CMCOB 5.1 ). 209…

third country competent authority

As Published: 2006

third country competent authority

26 a regulatory body of a state or territory other than the United Kingdom 86 .