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Financial Services and Markets Act 2000

Status:

This is the original version (as it was originally enacted).

Sections 165(11) and 171(4).

SCHEDULE 15Information and Investigations: Connected Persons

This schedule has no associated Explanatory Notes

Part IRules for Specific Bodies

Corporate bodies

1If the authorised person (“BC”) is a body corporate, a person who is or has been—

(a)an officer or manager of BC or of a parent undertaking of BC;

(b)an employee of BC;

(c)an agent of BC or of a parent undertaking of BC.

Partnerships

2If the authorised person (“PP”) is a partnership, a person who is or has been a member, manager, employee or agent of PP.

Unincorporated associations

3If the authorised person (“UA”) is an unincorporated association of persons which is neither a partnership nor an unincorporated friendly society, a person who is or has been an officer, manager, employee or agent of UA.

Friendly societies

4(1)If the authorised person (“FS”) is a friendly society, a person who is or has been an officer, manager or employee of FS.

(2)In relation to FS, “officer” and “manager” have the same meaning as in section 119(1) of the [1992 c. 40.] Friendly Societies Act 1992.

Building societies

5(1)If the authorised person (“BS”) is a building society, a person who is or has been an officer or employee of BS.

(2)In relation to BS, “officer” has the same meaning as it has in section 119(1) of the [1986 c. 53.] Building Societies Act 1986.

Individuals

6If the authorised person (“IP”) is an individual, a person who is or has been an employee or agent of IP.

Application to sections 171 and 172

7For the purposes of sections 171 and 172, if the person under investigation is not an authorised person the references in this Part of this Schedule to an authorised person are to be taken to be references to the person under investigation.

Part IIAdditional Rules

8A person who is, or at the relevant time was, the partner, manager, employee, agent, appointed representative, banker, auditor, actuary or solicitor of—

(a)the person under investigation (“A”);

(b)a parent undertaking of A;

(c)a subsidiary undertaking of A;

(d)a subsidiary undertaking of a parent undertaking of A; or

(e)a parent undertaking of a subsidiary undertaking of A.

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