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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).

UK financial system

As Published: 2010

UK financial system

38 (as defined in section 1I of the Act (Meaning of "the UK financial system" 99 )) the financial system operating in the United Kingdom including: (a) financial markets and exchanges; (b) regulated a…

AIFMD BTS

As Published: 2019

AIFMD BTS

154 means the UK version of Commission Delegated Regulation (EU) No. 694/2014 supplementing Directive 2011/61/EU of the European Parliament and of the Council with regard to regulatory technical stand…

third country firm

As Published: 2017

third country firm

79 (in SYSC ) either: (a) a third country investment firm ; or (b) the UK branch of a non-UK bank 86 .

reversion arranger

As Published: 2006

reversion arranger

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

listed activity

As Published: 2001

listed activity

55 an activity listed in the Annex 1 Activities 79 .

PR Sch 2 [to follow]

As Published: 2009

PR Sch 2 [to follow]

Prospectus Directive

As Published: 2005

Prospectus Directive

27 the Directive of the European Parliament and of the Council of 4 November 2003 on the prospectus to be published when securities are offered to the public or admitted to trading (No 2003/71/EC).

work-related insurance

As Published: 2010

work-related insurance

18 work-related insurance, including: (a) life assurance; (b) long term disability insurance (also known as permanent health insurance); and (c) accidental death, injury, critical illness, medical, de…

Funeral Plans Order

As Published: 2022

Funeral Plans Order

137 the Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2021 (SI 2021/90).

exercise time

As Published: 2005

exercise time

(in UKLR 168 ) (in relation to securitised derivatives ), the time stipulated by the issuer by which the holder must exercise their rights. 26…

reasonable assurance engagement

As Published: 2011

reasonable assurance engagement

164 a 'reasonable assurance engagement' as described in the Glossary of terms in Financial Reporting Council: Audit and Assurance: Standards and Guidance 2014.

third country issuer

As Published: 2007

third country issuer

29 an issuer which does not have its registered office in the EEA . 40 [Note: article 2(4) of the MiFID Regulation ]…

PIA Ombudsman scheme

As Published: 2001

PIA Ombudsman scheme

5 the former scheme set up by PIA under the Financial Services Act 1986 and operated by the PIA Ombudsman Bureau Ltd to handle complaints against members of PIA .

EU-adopted international accounting standards

As Published: 2019

EU-adopted international accounting standards

137 means the international accounting standards, within the meaning of EC Regulation No. 1606/2002 of the European Parliament and of the Council of 19 July 2002 on the application of international ac…

Third Non-Life Directive

As Published: 2001

Third Non-Life Directive

the Council Directive of 18 June 1992 on the coordination of laws, etc, and amending Directives 73/239/EEC and 88/357/EEC (No 92/49/EEC). 3…

non-UCITS retail scheme

As Published: 2004

non-UCITS retail scheme

an authorised fund which is not 90 a UCITS scheme , 90 a qualified investor scheme or a long-term asset fund 90 .

reinsurance to close

As Published: 2001

reinsurance to close

(a) an agreement under which members of a syndicate in one syndicate year ("the reinsured members") agree with the members of that syndicate in a later syndicate year or the members of another syndica…

regulated clearing arrangement

As Published: 2013

regulated clearing arrangement

124 as the context requires, either: (a) an arrangement under which a firm directly places client money in a client transaction account that is an individual client account or an omnibus client accoun…

SUP 16 Annex 27B [deleted]

As Published: 2010

SUP 16 Annex 27B [deleted]

non-equity share

As Published: 2024

non-equity share

103 a share which is not an equity share .