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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).

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…

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…