Reset to Today

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

Alternative versions

  3. Point in time
    2011-03-01

warrant

  1. (1) (except in12 COLL 12 ) the investment, specified in article 79 of the Regulated Activities Order (Instruments giving entitlements to investments), which is in summary: a warrant or other instrument entitling the holder to subscribe for a share, debenture, alternative debenture20 or government and public security.
  2. (2) (in12 COLL 12 ) an investment in (1) and any other transferable security (not being a nil paid or partly paid security) which is:
    1. (i) listed on an eligible securities market; and
    2. (ii) akin to an investment within (1) in that it involves a down payment by the then holder and a right later to surrender the instrument and to pay more money in return for a further transferable security.3