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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

advice, investigation or representation in relation to a criminal injury claim

As Published: 2019

advice, investigation or representation in relation to a criminal injury claim

151 the regulated activity , specified in article 89L of the Regulated Activities Order , of each of advising a claimant or potential claimant , investigating a claim and representing a claimant , in…

hybrid meeting

As Published: 2024

hybrid meeting

60 (in COLL 4 ) has the meaning given in COLL 4.4.1AR(2) .

projected pension pot value

As Published: 2022

projected pension pot value

214 an estimate of the value of a relevant pension scheme member’s pension benefits at their retirement date expressed as a single amount.

SUP 16 Annex 35A Close Links Monthly Report

As Published: 2013

SUP 16 Annex 35A Close Links Monthly Report

CONRED 2 Annex 8 Initial letter requesting information/enclosing questionnaire

As Published: 2013

CONRED 2 Annex 8 Initial letter requesting information/enclosing questionnaire

stocks and shares component

As Published: 2001

stocks and shares component

a qualifying investment as prescribed in paragraph 7 of the ISA Regulations . 5…

FCA candidate

As Published: 2013

FCA candidate

149 a person in respect of whom an application is made for approval under section 59 of the Act (Approval for particular arrangements) of the performance of an FCA controlled function .

EU auction regulation

As Published: 2019

EU auction regulation

137 the EU version of Regulation (EU) No. 1031/2010 of 12 November 2010 on the timing, administration and other aspects of auctioning of greenhouse gas emission allowances pursuant to Directive 2003/8…

regulated sale and rent back mediation activity

As Published: 2009

regulated sale and rent back mediation activity

76 any of the following regulated activities : (a) arranging (bringing about) regulated sale and rent back agreements (article 25E(1)); (b) making arrangements with a view to regulated sale and rent b…

new funeral plan

As Published: 2022

new funeral plan

88 a funeral plan contract entered into on or after 29 July 2022.

BNPL payment condition

As Published: 2019

BNPL payment condition

a provision in a BNPL agreement that has the effect described in (1)(a) or (2) of the definition of BNPL credit .

home finance providing activity

As Published: 2006

home finance providing activity

8 any of the regulated activities of: (a) entering into a regulated mortgage contract ; (aa) entering into a regulated sale and rent back agreement ; 19 (b) entering into a home purchase plan ; (c) en…

SRB intermediary

As Published: 2010

SRB intermediary

89 a firm with permission (or which ought to have permission ) to carry on a regulated sale and rent back mediation activity .

MiFID RTS 27

As Published: 2017

MiFID RTS 27

the UK version of 132 118 Commission Delegated Regulation (EU) 2017/575 of 8 June 2016 supplementing MiFID with regard to regulatory technical standards for the data to be provided by execution venues…

participation

As Published: 2004

participation

114 (1) [deleted] 205 118 122 (2) 205 has the meaning in article 4(1)(35) of the UK CRR 178 .

insurance client money chapter

As Published: 2007

insurance client money chapter

57 CASS 5 .

investment advice

As Published: 2017

investment advice

150 the provision of personal recommendations to a client , either upon the client’s request or at the initiative of the firm , in respect of one or more transactions relating to designated investment…

over the counter

As Published: 2001

over the counter

(in relation to a transaction in an investment ) not on-exchange . 4…

third-country competent authority

As Published: 2004

third-country competent authority

13 the authority of a country or territory which is not the United Kingdom 86 that is empowered by law or regulation to supervise (whether on an individual or group-wide basis) regulated entities .

flat-fee charge

As Published: 2015

flat-fee charge

88 a charge used by an operator of a qualifying scheme which is a specified charge for a period of time and which is not calculated by reference to member's contributions or accrued rights.