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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).

AVC

As Published: 2001

AVC

a voluntary contribution arrangement paid by a member of an occupational pension scheme under the terms of the scheme or of a separate contract. 49…

Second Life Directive

As Published: 2001

Second Life Directive

the Council Directive of 8 November 1990 on the coordination of laws, etc and laying down provisions relating to facilitate the effective exercise of freedom to provide services and amending Directive…

permitted third party

As Published: 2001

permitted third party

a third party who is: (a) an authorised person ; or (b) an exempt person for whom an authorised person is accepting responsibility; or (c) a person lawfully carrying on a regulated activity in another…

net underwriting exposure

As Published: 2006

net underwriting exposure

19 has the meaning in BIPRU 7.8.34R (Large exposure risk from underwriting securities: Calculating the net underwriting exposure) which is in summary the amount calculated by applying the reduction fa…

COAF Sch 6 Rules that can be waived

As Published: 2004

COAF Sch 6 Rules that can be waived

investment trust savings scheme

As Published: 2001

investment trust savings scheme

(a) a dealing service (whether or not held within a pension contract ) dedicated to the securities of one or more investment trusts ; 30 (b) securities to be acquired through an investment trust savin…

table of controlled functions

As Published: 2001

table of controlled functions

the table of controlled functions in SUP 10.4.5 R . 3…

ICOBS Sch 3 Fees and other required payments requirements

As Published: 2007

ICOBS Sch 3 Fees and other required payments requirements

mini-ISA

As Published: 2001

mini-ISA

3 an ISA which contains only one of the following qualifying investments (a) a stocks and shares component ; (b) a cash component ; (c) an insurance component ; as prescribed in paragraph 7, 8 or 9 re…

own account order

As Published: 2001

own account order

an order which relates to an own account transaction . 4…

published recommendation

As Published: 2001

published recommendation

5 any publication by or on behalf of a firm (including publication by sound broadcasting or television or other electronic means) which contains: (a) the results of research into investments ; or (b)…

issue

As Published: 2007

issue

(in relation to units ): 66 (1) (except in 66 EG 14 66 ) the issue of new units by the trustee of an AUT or by an ICVC ; (2) (in 66 EG 14 66 ): 66 (a) an issue in accordance with (1); and (b) the sale…

eligible claimant

As Published: 2001

eligible claimant

a person who is eligible to bring a claim for compensation under COMP 4.2.1 R . 4…

applicant

As Published: 2005

applicant

(1) (in LR ) an issuer which is applying for admission of securities . (2) (in PR ) an applicant for approval of a prospectus or supplementary prospectus relating to transferable securities . 23…

document evidencing title

As Published: 2001

document evidencing title

any means of evidencing title whether in documentary form or otherwise. 3…

UPRU Sch 2 Notification requirements

As Published: 2006

UPRU Sch 2 Notification requirements

supplementary listing particulars

As Published: 2005

supplementary listing particulars

(in LR ) (in accordance with section 81(1) of the Act ), supplementary listing particulars containing details of the change or new matter. 34…

Financial Action Task Force

As Published: 2001

Financial Action Task Force

the inter-governmental body responsible for developing and promoting policies, both nationally and internationally, to combat money laundering. 2…

income unit

As Published: 2001

income unit

a unit in an AUT which is not an accumulation unit . 5…

PPFM

As Published: 2003

PPFM

10 Principles and Practices of Financial Management .