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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).

scheme pension

As Published: 2005

scheme pension

a scheme pension, as defined in paragraph 2 of Schedule 28 to the Finance Act 2004, which is in summary a pension payable until a pension scheme member's death, or until the later of the member's deat…

Capital Requirements Regulations 2006

As Published: 2006

Capital Requirements Regulations 2006

50 the Capital Requirements Regulations 2006 (SI 2006/3221).

scheme report

As Published: 2001

scheme report

(in SUP 18 ) the report on the terms of an insurance business transfer scheme required by section 109 of the Act (Scheme reports). 4…

key features scheme

As Published: 2005

key features scheme

6 7 a scheme that is not: (a) a simplified prospectus scheme ; (b) a qualified investor scheme ; or (c) a recognised scheme under section 264 of the Act (Schemes constituted in other EEA States). 2…

investment transaction

As Published: 2001

investment transaction

a transaction to buy , sell , subscribe for or underwrite a security or contractually based investment . 5…

regulated activity debt

As Published: 2004

regulated activity debt

an obligation to pay a sum due and payable under an agreement, the making or performance of which constitutes or is part of a regulated activity carried on by an individual who: (a) is, or has been, a…

membership of a Lloyd's syndicate

As Published: 2001

membership of a Lloyd's syndicate

3 the investment , specified in article 86(2) of the Regulated Activities Order , which is a person 's membership (or prospective membership) of a Lloyd's syndicate .

overseas recognised body

As Published: 2001

overseas recognised body

an ROIE or ROCH . 4…

public announcement

As Published: 2001

public announcement

5 any communication made by or on behalf of the issuer or the stabilising manager being a communication made in circumstances in which it is likely that members of the public will become aware of the…

material holding

As Published: 2002

material holding

(1) 40 4 ( for the purposes of ELM ) a holding or position 40 set out in ELM 2.4.17 R (Material holdings). (2) (for the purposes of GENPRU and BIPRU ) has the meaning in GENPRU 2.2.209 R (Deductions f…

European Economic Area

As Published: 2001

European Economic Area

the area established by the agreement on the European Economic Area signed at Oporto on 2 May 1992, as it has effect for the time being and which consists of the EEA States . 4 20…

credit risk capital requirement

As Published: 2006

credit risk capital requirement

48 the part of the capital resources requirement of a BIPRU firm in respect of credit risk, calculated in accordance with GENPRU 2.1.51 R (Calculation of the credit risk capital requirement).

Host Member State

As Published: 2005

Host Member State

(in PR and LR ) Host State . 7…

individual counterparty CNCOM

As Published: 2006

individual counterparty CNCOM

52 has the meaning in BIPRU 10.10A.8 R 91 (How to calculate the concentration risk capital component), which is in summary the sum of a firm's individual CNCOMs with respect to its connected counterpa…

overseas firm

As Published: 2001

overseas firm

(1) (in relation to MAR 5 ) a firm which has its registered office (or, if it has no registered office, its head office) outside the United Kingdom excluding an incoming EEA firm . 30 (2) (in any othe…

Insurance market activity

As Published: 2003

Insurance market activity

means a regulated activity relating to contracts of insurance written at Lloyd's. 21…

financial stability information power

As Published: 2010

financial stability information power

44 the FSA's power under section 165A of the Act (Authority's power to require information: financial stability) which, in summary, is a power to require a person to provide information or documents r…

annual information update

As Published: 2005

annual information update

(in PR ) the document referred to in PR 5.2.1 R . 23…

adviser

As Published: 2001

adviser

4 (1) (except in IPRU(INV) 13) 68 an individual who is: a representative , 49 an appointed representative or a tied agent 49 (2) (in IPRU(INV) 13) a financial adviser . 68 17…

Unfair Terms Regulations

As Published: 2003

Unfair Terms Regulations

the Unfair Terms in Consumer Contracts Regulations 1999 (SI 1999/2083), as amended by SI 2001/1186 and SI 2001/3649. 6…