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

RPPD

As Published: 2007

RPPD

55 the Regulatory Guide which contains a statement of the responsibilities of providers and distributors for the fair treatment of customers .

base costs

As Published: 2001

base costs

3 management expenses , other than establishment costs , which are not dependent on the level of claims made on the FSCS .

PERG 6.1 Application

As Published: 2005

PERG 6.1 Application

stocks and shares component

As Published: 2001

stocks and shares component

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

intermediate broker

As Published: 2001

intermediate broker

(in relation to a transaction in a contingent liability investment ) any person acting in the capacity of an intermediary through whom the firm undertakes that transaction. 5…

owner

As Published: 2008

owner

37 (in RCB ) (as defined in Regulation 4 of the RCB Regulations ) an owner which owns an asset pool and issues a guarantee to pay from that asset pool claims attaching to a regulated covered bond in t…

EEA simplified prospectus scheme

As Published: 2007

EEA simplified prospectus scheme

39 a UCITS scheme which is a recognised scheme under section 264 of the Act (Schemes constituted in other EEA States).

Insurance Mediation Directive

As Published: 2004

Insurance Mediation Directive

22 the European Parliament and Council Directive of 9 December 2002 on insurance mediation (No 2002/92/EC).

netting

As Published: 2004

netting

13 a process by which the claims and obligations between two counterparties are offset against each other to leave a single net sum.

permitted unlisted securities

As Published: 2007

permitted unlisted securities

59 in relation to permitted links , means any investment (including a share , debt security , Treasury Bill, Tax Reserve Certificate or Certificate of Tax Deposit) that is not a listed security , but…

UK MiFID investment firm

As Published: 2007

UK MiFID investment firm

20 a MiFID investment firm whose Home State is the United Kingdom (this may include a natural person provided the conditions set out in Article 4(1)(1) of MiFID are satisfied).

specific risk PRA

As Published: 2006

specific risk PRA

45 a PRA for specific risk including any such PRA as applied under BIPRU 7.6.8 R (Table: Appropriate PRA).

COND Sch 1 Record keeping requirements

As Published: 2004

COND Sch 1 Record keeping requirements

home purchase arranger

As Published: 2006

home purchase arranger

8 a firm with permission (or which ought to have permission ) for arranging a home purchase plan .

fixed overheads requirement

As Published: 2006

fixed overheads requirement

23 the part of the capital resources requirement calculated in accordance with GENPRU 2.1.53 R (Calculation of the fixed overheads requirement).

defined benefit asset

As Published: 2005

defined benefit asset

the excess of the value of the assets in a defined benefit occupational pension scheme over the present value of the scheme liabilities, to the extent that a firm , as employer, in accordance with the…

small business

As Published: 2001

small business

(in COMP ) a partnership , body corporate , unincorporated association or mutual association with an annual turnover of less than £1 million (or its equivalent in any other currency at the relevant ti…

qualifying equity

As Published: 2006

qualifying equity

10 a share that satisfies the conditions in BIPRU 7.3.35 R (Definition of a qualifying equity).

discretionary investment manager

As Published: 2004

discretionary investment manager

(in COBS and 39 15 (in relation to firm type ) 39 in SUP 16.10 (Confirmation of standing data )) a person who, acting only on behalf of a client , manages designated investments in an account or portf…

proven reserves

As Published: 2005

proven reserves

(in LR ): (a) in respect of mineral companies primarily involved in the extraction of oil and gas resources, those reserves which, on the available evidence and taking into account technical and econo…