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

MiFID optional exemption business

As Published: 2017

MiFID optional exemption business

118 investment services and/or activities and, where relevant, ancillary services carried on by a MiFID optional exemption firm .

CIU

As Published: 2006

CIU

(1) 260 collective investment undertaking. (2) [deleted] 260 230…

FPCOB 8.1 Application

As Published: 2022

FPCOB 8.1 Application

real time financial promotion

As Published: 2001

real time financial promotion

(in accordance with article 7(1) of the Financial Promotion Order) a financial promotion made in the course of a personal visit, telephone conversation or other interactive dialogue. 5 9…

endowment assurance

As Published: 2001

endowment assurance

4 a life policy which pays a sum of money on the survival of the life assured to a specific date or on his earlier death.

LME bond arrangement

As Published: 2014

LME bond arrangement

59 an arrangement for the segregation of money held by firms on behalf of US customers for transactions undertaken on the exchange operated by the LME , which is an alternative to complying with condi…

bearer form

As Published: 2001

bearer form

4 (in relation to a client's certificate, share transfer or other document ) in a form signed by the client so that it enables a designated investment or deposit to which it relates to be sold, transf…

insurance risk transformation

As Published: 2017

insurance risk transformation

159 the regulated activity specified in article 13A of the Regulated Activities Order (Transformer vehicles: insurance risk transformation) which is, in summary, the activity of an undertaking (‘A’) a…

contingent liability investment

As Published: 2001

contingent liability investment

a derivative under the terms of which the client will or may be liable to make further payments (other than charges , and whether or not secured by margin ) when the transaction falls to be completed…

introducing broker

As Published: 2001

introducing broker

a firm which introduces transactions relating to designated investments arranged (brought about) for its clients to a clearing firm . 5…

biomass investment

As Published: 2008

biomass investment

29 any of the following: (a) a unit in a biomass collective investment scheme ; (b) an option to acquire or dispose of a biomass investment ; (c) a future where the commodity in question is biomass ;…

community co-insurance operation

As Published: 2001

community co-insurance operation

a co-insurance operation which relates to one or more risks classified under general insurance business classes 3 to 16 and which fulfils the conditions in article 190(1)(a) to (f) of the Solvency II…

flat rate benefits business friendly society

As Published: 2001

flat rate benefits business friendly society

a friendly society whose insurance business is restricted to the provision of benefits which vary according to the resources available and in which the contributions of members are determined on a fla…

COBS 6 Annex 1 Services and costs disclosure document described in COBS 6.3.7G(1) [deleted]

As Published: 2007

COBS 6 Annex 1 Services and costs disclosure document described in COBS 6.3.7G(1) [deleted]

FINMAR Sch 4 Powers Exercised

As Published: 2010

FINMAR Sch 4 Powers Exercised

large non-directive insurer

As Published: 2015

large non-directive insurer

65 a ‘large non-directive insurer’ as defined in the PRA Rulebook: Glossary.

dedicated

As Published: 2001

dedicated

(in relation to investments of an authorised fund ) intended that the holders should participate in or receive: (a) profits or income arising from the acquisition, holding, management or disposal of i…

MCOB 6.3 General

As Published: 2015

MCOB 6.3 General

claims management company

As Published: 2019

claims management company

228 a person carrying on a regulated claims management activity in Great Britain .

non-profit fund

As Published: 2004

non-profit fund

13 a long-term insurance fund which is not a with-profits fund .