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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).

hybrid capital

As Published: 2010

hybrid capital

21 an item of capital that is stated in GENPRU 2.2 as eligible for inclusion at stage B1, B2 or C of the calculation in the capital resources table .

Takeover Code

As Published: 2001

Takeover Code

the City Code on Takeovers and Mergers issued by the Takeover Panel . 3…

PRA-regulated activity

As Published: 2013

PRA-regulated activity

230 a regulated activity specified in an order made under section 22A of the Act or specified pursuant to a power granted in such an order.

EU CRR

As Published: 2013

EU CRR

89 Regulation of the European Parliament and the Council on prudential requirements for credit institutions and investment firms (Regulation (EU) No 575/2013) and amending Regulation (EU) No 648/2012.

pure reinsurer

As Published: 2001

pure reinsurer

5 an insurer whose insurance business is restricted to reinsurance.

annual bonus

As Published: 2004

annual bonus

21 (in relation to a with-profits insurance contract ) a discretionary addition to policy benefits under a with-profits insurance contract made by a long-term insurer as a result of the annual actuari…

financial information table

As Published: 2005

financial information table

(in LR ) financial information presented in tabular form that covers the reporting period set out in LR 13.5.13 R in relation to the entities set out in LR 13.5.14 R , and to the extent relevant LR 13…

pension feeder fund

As Published: 2016

pension feeder fund

149 an AUT or ACS that is a relevant pension scheme and is dedicated to units in a single regulated collective investment scheme .

group plan

As Published: 2001

group plan

a group ISA or a group savings plan . 4…

common platform outsourcing rules

As Published: 2007

common platform outsourcing rules

52 SYSC 8.1.1 R to SYSC 8.1.12 G .

non-authorised counterparty

As Published: 2013

non-authorised counterparty

49 in EG , 58 in relation to EMIR : (a) a financial counterparty which is not an authorised person ; or (b) a non-financial counterparty 58 ; or 58 (c) a third country entity referred to in article 4(…

group liquidity reporting firm

As Published: 2009

group liquidity reporting firm

34 see the definitions of DLG by default , DLG by modification (firm level) , and non-UK DLG by modification (DLG level) . ( Guidance about this definition, and its inter-relation with other related d…

sub-fund

As Published: 2001

sub-fund

(a) (in relation to an authorised fund that is an umbrella 51 51 ) a separate part of the scheme property of that scheme that is pooled separately; (aa) (in relation to an EEA UCITS scheme ) any part…

ADR Directive

As Published: 2015

ADR Directive

120 190 Directive 2013/11/EU of the European Parliament and of the Council of 21 May 2013 on alternative dispute resolution for consumer disputes and amending Regulation (EC) No 2006/2004 and Directiv…

third party prospectus

As Published: 2007

third party prospectus

32 a communication made by a firm if the communication is a prospectus that has been drawn up and published in accordance with the Prospectus Directive and the firm is not responsible under that direc…

image advertising

As Published: 2007

image advertising

62 a communication that consists only of one or more of the following: (a) the name of the firm ; (b) a logo or other image associated with the firm ; (c) a contact point; and (d) a reference to the t…

RAP

As Published: 2011

RAP

105 a recognised auction platform .

payer

As Published: 2015

payer

(1) (for the purposes of FEES 9 ) a person who holds a payment account and allows instructions to be given to transfer funds from that payment account, or who gives instructions to transfer funds. 159…

MAR 6.3 Criteria for determining whether an investment firm is a systematic internaliser [deleted]

As Published: 2017

MAR 6.3 Criteria for determining whether an investment firm is a systematic internaliser [deleted]

manufacturer

As Published: 2017

manufacturer

118 a firm which creates, develops, issues, and/or designs investments , including when advising corporate issuers on the launch of new investments . [Note: recital 15 to the MiFID Delegated Directive…