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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).

home purchase adviser

As Published: 2006

home purchase adviser

8 a firm with permission (or which ought to have permission ) for advising on a home purchase plan .

pensions dashboard self-asserted data

As Published: 2022

pensions dashboard self-asserted data

214 personal details a pensions dashboard user provides (including their national insurance number, previous names and addresses, email address and mobile phone number) in addition to the pensions das…

deficit reduction amount

As Published: 2005

deficit reduction amount

in respect of a defined benefit occupational pension scheme , the sum, determined by a firm in conjunction with the defined benefit occupational pension scheme's actuaries or trustees (or both), of th…

MAR 2 Annex 1 List of specified exchanges (This is the list of other specified exchanges referred to in MAR 2.2.1R(2)) [deleted]

As Published: 2016

MAR 2 Annex 1 List of specified exchanges (This is the list of other specified exchanges referred to in MAR 2.2.1R(2)) [deleted]

call charges rule

As Published: 2015

call charges rule

181 GEN 7.2.1R .

Prospectus Rules

As Published: 2005

Prospectus Rules

(as defined in section 73A(4) of the Act ) rules expressed to relate to transferable securities . 30…

investment recommendation

As Published: 2016

investment recommendation

145 as defined in article 3(1)(35) of the Market Abuse Regulation .

Financial Ombudsman Service Limited

As Published: 2001

Financial Ombudsman Service Limited

the body corporate established by the FSA under paragraph 2(1) of Schedule 17 to the Act (The Scheme Operator) (as originally enacted) 154 to administer the Financial Ombudsman Service . 2…

MiFID RTS 12

As Published: 2017

MiFID RTS 12

the UK version of 132 118 Commission Delegated Regulation (EU) No 2017/570 of 26 May 2016 supplementing MiFID with regard to regulatory technical standards on the determination of a material market in…

FCA governing functions

As Published: 2015

FCA governing functions

any of the 121 FCA controlled functions labelled as FCA governing functions in the table of FCA-designated senior management functions or in the table of FCA controlled functions . 121 121 92 85 85 83…

LR 20.2 Requirements for listing

As Published: 2010

LR 20.2 Requirements for listing

Gibraltar-based firm

As Published: 2021

Gibraltar-based firm

74 has the same meaning as in the Gibraltar Order .

MIIC

As Published: 2002

MIIC

7 the Motor Insurers' Information Centre .

shell company sponsor

As Published: 2024

shell company sponsor

224 (in UKLR ) as defined in UKLR 13.1.4R(3) .

important business service

As Published: 2021

important business service

177 means a service provided by a firm , or by another person on behalf of the firm , to one or more clients of the firm which, if disrupted, could: (1) cause intolerable levels of harm to any one or…

AIFM Remuneration Code staff

As Published: 2013

AIFM Remuneration Code staff

101 (for an AIFM ) has the meaning given in SYSC 19B.1.3 R .

independent director

As Published: 2014

independent director

131 a director whom an applicant 156 or listed company has determined to be independent under the UK Corporate Governance Code .

capped drawdown pension fund

As Published: 2019

capped drawdown pension fund

237 240 in accordance with paragraph 8 of schedule 28 to the Finance Act 2004, sums or assets held in a personal pension scheme or stakeholder pension scheme and designated as available for the paymen…

COBS 12.3 Non-independent research [deleted]

As Published: 2017

COBS 12.3 Non-independent research [deleted]

public offer

As Published: 2001

public offer

5 an offer of securities to the public and described in the POS Regulations .