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

regulated lifetime mortgage contract

As Published: 2003

regulated lifetime mortgage contract

14 a regulated mortgage contract which is a lifetime mortgage .

introducer

As Published: 2001

introducer

an individual appointed by a firm , 68 an appointed representative or, where applicable, a tied agent 68 , to carry out in the course of designated investment business either or both of the following…

standardised credit risk exposure class

As Published: 2006

standardised credit risk exposure class

45 (in relation to the standardised approach to credit risk) one of the classes of exposure set out in BIPRU 3.2.9R (Exposure classes).

unit trust scheme

As Published: 2001

unit trust scheme

(as defined in section 237(1) of the Act (Other definitions)) a collective investment scheme under which the property in question is held on trust for the participants , except that it does not includ…

reversion administrator

As Published: 2006

reversion administrator

42 a firm with permission (or which ought to have permission ) for administering a home reversion plan .

SUP 16 Annex 41A Payment accounts report

As Published: 2016

SUP 16 Annex 41A Payment accounts report

BIPRU 3 Annex 2 Regional governments and local authorities eligible for the treatment in BIPRU 3.4.15R

As Published: 2007

BIPRU 3 Annex 2 Regional governments and local authorities eligible for the treatment in BIPRU 3.4.15R

carried interest

As Published: 2013

carried interest

148 a share in the profits of the AIF accrued to the AIFM as compensation for the management of the AIF , and excluding any share in the profits of the AIF accrued to the AIFM as a return on any inves…

reduced net underwriting position

As Published: 2006

reduced net underwriting position

46 the net underwriting position as adjusted under BIPRU 7.8.27 R (Calculating the reduced net underwriting position).

OECD state guaranteed issuer

As Published: 2005

OECD state guaranteed issuer

19 an issuer of debt securities whose obligations in relation to those securities have been guaranteed by a member state of the OECD .

unrestricted-use credit agreement

As Published: 2013

unrestricted-use credit agreement

52 a credit agreement which is not a restricted-use credit agreement .

risk factors

As Published: 2005

risk factors

(in PR ) (as defined in the PD Regulation ) a list of risks which are specific to the situation of the issuer and/or the securities and which are material for taking investment decisions. 31…

intra-group liquidity modification

As Published: 2009

intra-group liquidity modification

86 a modification to the overall liquidity adequacy rule of the kind described in BIPRU 12.8.7G.

professional client

As Published: 2006

professional client

a client that is either a per se professional client or an elective professional client (see COBS 3.5.1 R ). 46 [Note: article 4(1)(12) of MiFID ]. 46…

undertaking

As Published: 2001

undertaking

(as defined in section 1161(1) of the Companies Act 2006 28 (Meaning of "undertaking" and related expressions)): (a) a body corporate or partnership ; or (b) an unincorporated association carrying on…

indirect client

As Published: 2013

indirect client

121 as defined in article (1)(a) of the EMIR L2 Regulation .

modified report

As Published: 2012

modified report

78 (in LR ) an accountant's or auditor's report: (a) in which the opinion is modified; or (b) which contains an emphasis-of-matter paragraph.

payment institution

As Published: 2009

payment institution

71 231 an authorised payment institution , an EEA authorised payment institution or a small payment institution . [Note: articles 4(4) and 26(3) of the Payment Services Directive ]…

clearing arrangement mandatory prudent segregation

As Published: 2014

clearing arrangement mandatory prudent segregation

166 the requirement under CASS 7.13.73 R on a firm using the normal approach to segregate an amount of money as client money .

class 1 transaction

As Published: 2005

class 1 transaction

(in LR and FEES 35 ) a transaction classified as a class 1 transaction under LR 10 . 31…