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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).

Balancing and Settlement Code

As Published: 2001

Balancing and Settlement Code

2 the document designated by the Secretary of State and adopted by the National Grid Company plc as the Balancing and Settlement Code as modified from time to time in accordance with the terms of the…

potential tier one instrument

As Published: 2004

potential tier one instrument

25 an item of capital that falls into GENPRU 2.2.62R (Tier one capital: General) 43 .

larger denomination share

As Published: 2001

larger denomination share

any share that is not a smaller denomination share . 2…

former member

As Published: 2001

former member

a person who has ceased to be a member , whether by resignation or otherwise, in accordance with Lloyd's Act 1982 and any byelaw made under it. 2…

IFRS

As Published: 2006

IFRS

56 International Financial Reporting Standards .

Insurance Groups Directive

As Published: 2004

Insurance Groups Directive

27 Directive of the European Parliament and of the Council of 27 October 1998 on the supplementary supervision of insurance undertakings in an insurance group (1998/78/EC).

projection period

As Published: 2007

projection period

61 (in COBS ) the period covered by a standardised deterministic projection , which begins on the date the investment is reasonably expected to be made and ends on the projection date described in par…

GCR

As Published: 2004

GCR

12 group capital resources .

volatility risk

As Published: 2004

volatility risk

5 the potential loss due to fluctuations in implied option volatilities.

PRR charge

As Published: 2006

PRR charge

43 one of the following: (a) the interest rate PRR ; (b) the equity PRR ; (c) the commodity PRR ; (d) the foreign currency PRR ; (e) the option PRR ; (f) the collective investment undertaking PRR ; an…

retail investment activity

As Published: 2004

retail investment activity

19 (a) advising on investments ; 19 (b) arranging (bringing about) deals in investments ; or 19 (c) making arrangements with a view to transactions in investments , 19 in relation to retail investment…

Act

As Published: 2001

Act

4 the Financial Services and Markets Act 2000 .

capital resources requirement

As Published: 2004

capital resources requirement

27 an amount of capital resources that: 48 (1) a BIPRU firm must hold as set out in the main BIPRU firm Pillar 1 rules ; or 48 (2) an insurer must hold as set out in GENPRU 2.1.17 R to GENPRU 2.1.23 R…

rule on use of dealing commission

As Published: 2007

rule on use of dealing commission

57 COBS 11.6.3 R .

regulated activity group

As Published: 2006

regulated activity group

49 A set of one or more regulated activities (with associated investment types and customer types) referred to in SUP 16 to determine a firm's or other regulated person's data item submission requirem…

ISA manager

As Published: 2001

ISA manager

a person who is approved by HM Revenue and Customs 35 for the purposes of the ISA Regulations as an account manager. 5…

charity

As Published: 2009

charity

88 (in BCOBS ) includes: (a) in England and Wales, a charity as defined by section 1(1) of the Charities Act 2006; (b) in Scotland, a charity as defined by section 106 of the Charities and Trustee Inv…

establishing, operating or winding up a regulated collective investment scheme

As Published: 2001

establishing, operating or winding up a regulated collective investment scheme

establishing, operating or winding up a collective investment scheme if the scheme is a regulated collective investment scheme . 4…

scheme of operations

As Published: 2001

scheme of operations

a scheme which: (a) describes the nature of the risks which the insurer is underwriting, or intends to underwrite, and the guiding principles which it intends to follow in reinsuring or covering those…

buying

As Published: 2001

buying

4 (in accordance with article 3(1) of the Regulated Activities Order (Interpretation)) any form of buying, including acquiring for valuable consideration.