http://www.legislation.gov.uk/ukpga/2013/33/section/34/2013-12-18Financial Services (Banking Reform) Act 2013An Act to make further provision about banking and other financial services, including provision about the Financial Services Compensation Scheme; to make provision for the amounts owed in respect of certain deposits to be treated as a preferential debt on insolvency; to make further provision about payment systems and securities settlement systems; to make provision about the accounts of the Bank of England and its wholly owned subsidiaries; to make provision in relation to persons providing claims management services; and for connected purposes.texttext/xmlenStatute Law Database2024-09-062013-12-18PART 4Conduct of persons working in financial services sectorAmendments of FSMA 2000
34Recording information about senior managers1

Section 347 of FSMA 2000 (the record of authorised persons etc.) is amended as follows.

2

In subsection (2)—

a

in paragraph (g), after sub-paragraph (iii) insert—

iv

in a case where the authorised person concerned is a relevant authorised person, whether or not the person is a senior manager;

;

b

after that paragraph insert—

h

in the case of an approved person who is a senior manager in relation to a relevant authorised person—

i

whether a final notice has been given to the person under section 390; and

ii

if so, any information about the matter to which the notice relates which has been published under section 391(4).

3

After subsection (8) insert—

8A

In this section—

relevant authorised person” has the same meaning as in Part 5 (see section 71A),

senior manager”, in relation to a relevant authorised person, means a person who has approval under section 59 to perform a designated senior management function in relation to the carrying on by the authorised person of a regulated activity, and

designated senior management function” means a function designated as a senior management function under section 59(6A) or (6B).

4

For subsection (9) substitute—

9

The authorised person concerned”, in relation to an approved person, means the person on whose application approval was given.

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<strong>PART 4</strong>
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<heading>Conduct of persons working in financial services sector</heading>
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<em>Amendments of </em>
FSMA 2000
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Section 347 of FSMA 2000 (the record of authorised persons
<abbr title="et cetera" xml:lang="la">etc.</abbr>
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<p>if so, any information about the matter to which the notice relates which has been published under section 391(4).</p>
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<p>
<term refersTo="#term-designated-senior-management-function">designated senior management function</term>
” means a function designated as a senior management function under section 59(6A) or (6B).
</p>
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</p>
</content>
</subsection>
<subsection eId="section-34-4">
<num>4</num>
<content>
<p>For subsection (9) substitute—</p>
<p class="BlockAmendment">
<mod>
<quotedStructure class="primary unknown main default" startQuote="" endQuote="">
<subsection eId="d4e250">
<num>9</num>
<content>
<p>The authorised person concerned”, in relation to an approved person, means the person on whose application approval was given.</p>
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</subsection>
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</mod>
</p>
</content>
</subsection>
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