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The Rehabilitation of Offenders Act 1974 (Exclusions and Exceptions) (Scotland) Order 2003

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Part 3Interpretation

In this Schedule–

“the 2000 Act” means the Financial Services and Markets Act 2000(1);

“associate”, in relation to a person (“A”), means someone who is a controller, director or a manager of A or, where A is a partnership, any partner of A;

“collective investment scheme” has the meaning given by section 235 of the 2000 Act;

“the competent authority for listing” means the competent authority for the purposes of Part VI of the 2000 Act (listing);

“controller” has the meaning given by section 422 of the 2000 Act;

“Council of Lloyd's” means the council constituted by section 3 of the Lloyd’s Act 1982;

“director” has the meaning given by section 417 of the 2000 Act;

“key worker”, in relation to any body (“A”), means any individual who is likely, in the course of the duties of his office or employment–

(a)

where A is the Authority, to play a significant role in the decision making process of the Authority in relation to the exercise of the Authority’s public functions (within the meaning of section 349(5) of the 2000 Act) under any provision of the 2000 Act other than Part VI, or to support directly such a person;

(b)

where A is the competent authority for listing, to play a significant role in the decision making process of the competent authority for listing in relation to the exercise of its functions under Part VI of the 2000 Act, or to support directly such a person;

“manager” has the meaning given by section 423 of the 2000 Act;

“open-ended investment company” has the meaning given by section 236 of the 2000 Act;

“Part IV permission” has the meaning given by section 40(4) of the 2000 Act;

“relevant collective investment scheme” means a collective investment scheme which is recognised under sections 264 (schemes constituted in other EEA States), 270 (schemes authorised in designated countries or territories) or 272 (individually recognised overseas schemes) of the 2000 Act;

“trustee”, in relation to a unit trust scheme, has the meaning given by section 237 of the 2000 Act;

UK recognised clearing house” means a clearing house in relation to which a recognition order under section 290 of the 2000 Act, otherwise than by virtue of section 292(2) (overseas clearing houses) of that Act, is in force;

“UK recognised investment exchange” means an investment exchange in relation to which a recognition order under section 290 of the 2000 Act, otherwise than by virtue of section 292(2) (overseas investment exchanges) of that Act, is in force.

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