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

tied MCD credit intermediary

As Published: 2015

tied MCD credit intermediary

67 a tied MCD mortgage credit intermediary or a tied MCD article 3(1)(b) credit intermediary . [Note: article 4(7) of the MCD ]…

authorised unit trust scheme

As Published: 2001

authorised unit trust scheme

4 (as defined in section 237(3) of the Act (Other definitions)) a unit trust scheme which is authorised for the purposes of the Act by an authorisation order .

universal registration document

As Published: 2019

universal registration document

a universal registration document referred to in article 9 of the Prospectus Regulation . 83…

third party verifier

As Published: 2019

third party verifier

85 a person authorised in accordance with paragraph 28(1) of the Securitisation Regulation . [Note: see https://eur-lex.europa.eu/eli/reg/2017/2402/oj ]…

in the money

As Published: 2005

in the money

(1) (in LR ) (in relation to 115 securitised derivatives 115 ): 52 (a) where the holder has the right to buy the underlying instrument or instruments from the issuer , when the settlement price is gre…

PR Sch 4 Powers exercised

As Published: 2009

PR Sch 4 Powers exercised

mortgage adviser

As Published: 2003

mortgage adviser

11 12 a firm with permission (or which ought to have permission ) for advising on regulated mortgage contracts .

linked policyholders

As Published: 2007

linked policyholders

29 policyholders under a linked long-term contract.

structured deposit appointed representative

As Published: 2017

structured deposit appointed representative

161 an appointed representative that is a party to a contract with a MiFID investment firm that permits or requires it to carry on only the business of selling, or advising clients in relation to, str…

Financial Groups Directive

As Published: 2004

Financial Groups Directive

9 Directive 2002/87/EC of the European Parliament and of the Council of 16 December 2002 on the supplementary supervision of credit institutions, insurance undertakings and investment firms in a finan…

REC TP 1 Transitional provisions

As Published: 2005

REC TP 1 Transitional provisions

PROF Sch 3 Fees and other required payments

As Published: 2004

PROF Sch 3 Fees and other required payments

AVA

As Published: 2021

AVA

170 an additional valuation adjustment calculated under MIFIDPRU 3 Annex 8R .

lower rate of return

As Published: 2007

lower rate of return

30 (in COBS ) the lower rate of return described in paragraph 2.3 of the projection rules ( COBS 13 Annex 2 ).

banking and investment services sector

As Published: 2006

banking and investment services sector

23 (in relation to a financial sector in a consolidation group or a financial conglomerate and in accordance with GENPRU 3.1 (Cross sector groups)), the investment services sector and the banking sect…

enhanced capital requirement

As Published: 2004

enhanced capital requirement

[deleted] 109…

home finance activity

As Published: 2006

home finance activity

8 any home finance mediation activity , home finance providing activity or administering a home finance transaction .

securities or commodities lending or borrowing transaction

As Published: 2006

securities or commodities lending or borrowing transaction

a transaction that falls within the definition in article 3(7) of the SFTR . 205 121 180 180…

RVECA manager

As Published: 2019

RVECA manager

192 the manager of a qualifying venture capital fund (as defined in the RVECA Regulation ) that is registered in accordance with article 14 of the RVECA Regulation .

sustainable

As Published: 2014

sustainable

122 (in CONC ) the ability of the customer to make repayments under a credit agreement in accordance with CONC 5.2A.12R 173 .