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

SUP 16 Annex 3 [deleted]

As Published: 2001

SUP 16 Annex 3 [deleted]

third country reinsurance undertaking

As Published: 2021

third country reinsurance undertaking

104 a third country insurance undertaking as defined in regulation 2 of the Solvency 2 Regulations 2015 .

own-initiative powers

As Published: 2022

own-initiative powers

the 107 121 FCA's or the PRA's own-initiative variation power and own-initiative requirement power , which powers are supplemented, in respect of FCA-authorised persons , by the FCA’s additional own-i…

entering into a regulated consumer hire agreement as owner

As Published: 2013

entering into a regulated consumer hire agreement as owner

87 the regulated activity specified in article 60N(1) of the Regulated Activities Order .

MAR 6.11 Execution price of professional client orders [deleted]

As Published: 2017

MAR 6.11 Execution price of professional client orders [deleted]

director of unincorporated association function

As Published: 2001

director of unincorporated association function

108 FCA controlled function CF5 in 122 the table of FCA controlled functions , described more fully in SUP 10A.6.29 R .

IDD POG Regulation

As Published: 2018

IDD POG Regulation

192 160 Commission Delegated Regulation (EU) 2017/2358 of 21 September 2017, supplementing the IDD of the European Parliament and of the Council with regard to product oversight and governance require…

listing particulars

As Published: 2005

listing particulars

(in UKLR 105 and PRR 80 ) (in accordance with section 79(2) of the Act ), a document in such form and containing such information as may be specified in listing rules . 14…

supplementary prospectus

As Published: 2005

supplementary prospectus

(in Part 6 rules ) a supplementary prospectus containing details of a new factor, mistake or inaccuracy. 34…

debt collector

As Published: 2014

debt collector

87 a person who has, or ought to have, a Part 4A permission to carry on the regulated activity of debt adjusting and who takes steps to procure payment of debts due under credit agreements or consumer…

consumer-facing disclosure

As Published: 2023

consumer-facing disclosure

275 a disclosure produced under ESG 5.2 in respect of a sustainability product .

precious metals

As Published: 2001

precious metals

5 (in COLL ) gold, silver or platinum.

authorised insurance company

As Published: 2006

authorised insurance company

40 (In COMP ) (in accordance with the compensation transitionals order ) a person who was, at any time before commencement , authorised under section 3 or 4 of the Insurance Companies Act 1982 to carr…

automatic enrolment scheme

As Published: 2011

automatic enrolment scheme

76 a scheme that meets the conditions in Part 1 of the Pensions Act 2008. In summary this is a qualifying occupational pension scheme or qualifying personal pension scheme that enables automatic enrol…

trade receivables

As Published: 2001

trade receivables

103 receivables from trade debtors (including fees or commissions).

IPA eligible investment

As Published: 2001

IPA eligible investment

a type of investment specified in regulation 2(2) (condition 5) of the Stamp Duty and Stamp Duty Reserve Tax (Definition of Unit Trust Scheme and Open-ended Investment Company) Regulations 2001 (SI 20…

institutional linked policyholders

As Published: 2007

institutional linked policyholders

67 in relation to permitted links , linked policyholders who are trustees of a defined benefit occupational pension scheme .

motor vehicle liability insurer

As Published: 2004

motor vehicle liability insurer

(a) a firm with permission to carry on motor vehicle liability insurance business ; (b) any person carrying on the regulated activity of managing the underwriting capacity of a Lloyd's syndicate in re…

procuration fee

As Published: 2003

procuration fee

14 the total amount paid by a home finance provider 39 to a home finance intermediary 39 , whether directly or indirectly, in connection with providing applications from customers to enter into home f…

physical asset reconciliation

As Published: 2014

physical asset reconciliation

119 the safe custody assets reconciliation described in CASS 6.6.24 R , using either the total count method or the rolling stock method .