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SCHEDULES

SCHEDULE 15U.K. Information and Investigations: Connected Persons

Part IU.K. Rules for Specific Bodies

Corporate bodiesU.K.

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.

PartnershipsU.K.

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

Unincorporated associationsU.K.

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 societiesU.K.

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.U.K.

(2)In relation to FS, “officer” and “manager” have the same meaning as in section 119(1) of the M1Friendly Societies Act 1992.

Marginal Citations

Building societiesU.K.

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

(2)In relation to BS, “officer” has the same meaning as it has in section 119(1) of the M2Building Societies Act 1986.

Marginal Citations

IndividualsU.K.

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 172U.K.

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.