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

refinance

As Published: 2013

refinance

127 see the definition of finance (except in relation to CONC 6.7.18 R to CONC 6.7.23 R and CONC 7.6.12 R ) 132 .

vendor consideration placing

As Published: 2005

vendor consideration placing

(in UKLR 25 ) a marketing, by or on behalf of vendors, of securities that have been allotted as consideration for an acquisition. 6…

cash component

As Published: 2001

cash component

a qualifying investment prescribed in paragraph 8 of the ISA Regulations (Qualifying investments for a cash component). 3…

investment manager

As Published: 2007

investment manager

(1) (except in UKLR 195 ) a person who, acting only on behalf of a client : (a) manages designated investments in an account or portfolio on a discretionary basis under the terms of a discretionary ma…

TD Major Holdings Regulation

As Published: 2019

TD Major Holdings Regulation

86 the UK version of Commission Delegated Regulation (EU) 2015/761 of 17 December 2014 supplementing Directive 2004/109/EC of the European Parliament and of the Council with regard to certain regulato…

COBS 6 Annex 3 [deleted]

As Published: 2007

COBS 6 Annex 3 [deleted]

daily trading flow

As Published: 2001

daily trading flow

142 the daily value of transactions that a MIFIDPRU investment firm enters through: (1) dealing on own account ; or (2) the execution of orders on behalf of clients in the firm’s own name.

whole life assurance

As Published: 2001

whole life assurance

a contract of insurance which, disregarding any benefit payable on surrender, secures a capital sum only on death or either on death or on disability, but does not include a term assurance. 3…

Solvency II Directive

As Published: 2010

Solvency II Directive

92 the Directive of the European Parliament and of the Council of 25 November 2009 on the taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II) 131 (No. 2009/138/EC).

relevant new claims management complaint

As Published: 2019

relevant new claims management complaint

190 a complaint in respect of which the Financial Ombudsman Service has jurisdiction by operation of article 70(1) of the Financial Services and Markets Act 2000 (Claims Management Activity) Order 201…

CTP

As Published: 2017

CTP

211 consolidated tape provider .

provider of credit information services

As Published: 2014

provider of credit information services

116 a person providing credit information services who has, or ought to have, a Part 4A permission to carry on the regulated activity of providing credit information services .

approved derivative

As Published: 2001

approved derivative

(1) (in COLL 63 ) a derivative which is traded or dealt in on an eligible derivatives market. 21 (2) (in 37 INSPRU 37 ) a derivative in respect of which the conditions in 37 INSPRU 3.2.5 R 37 are met.

cryptoasset exchange traded note

As Published: 2020

cryptoasset exchange traded note

244 247 a debt security : (a) which is traded on a trading venue or a market operated by a ROIE ; (b) which features no periodic coupon payments; and (c) whose return tracks the performance of an unre…

authorised corporate director

As Published: 2001

authorised corporate director

4 8 13 the director of an ICVC who is the authorised corporate director of the ICVC in accordance with COLL 6.5.3 R (Appointment of an ACD) 154 .

waiver

As Published: 2001

waiver

a direction waiving or modifying a rule , given by the appropriate regulator 46 under section 138A of the Act (Modification or waiver of rules) or by the FCA under sections 46 250, 261L 24 or 294 of t…

Principles and Practices of Financial Management

As Published: 2003

Principles and Practices of Financial Management

10 the Principles and Practices of Financial Management, containing with-profits principles and with-profits practices , 52 which a firm carrying on with-profits business must establish, maintain and…

MCOB Sch 2 Notification Requirements

As Published: 2004

MCOB Sch 2 Notification Requirements

MCD credit intermediary

As Published: 2015

MCD credit intermediary

99 an MCD mortgage credit intermediary or an MCD article 3(1)(b) credit intermediary . [Note: article 4(5) and (21) of the MCD ]…

flexi-access drawdown pension fund

As Published: 2019

flexi-access drawdown pension fund

129 131 in accordance with paragraph 8A 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 payme…