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Financial Services and Markets Act 2000, SCHEDULE 15 is up to date with all changes known to be in force on or before 22 August 2024. There are changes that may be brought into force at a future date. Changes that have been made appear in the content and are referenced with annotations.
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Sections 165(11) and 171(4).
Modifications etc. (not altering text)
C1Sch. 15 Pt. I (paras. 1-7) modified (1.12.2001) by S.I. 2001/2657, arts. 1(1), 15(2) (which was revoked (8.10.2001) by S.I. 2001/3083, arts. 1(2), 23); S.I. 2001/3538, art. 2(1)
Sch. 15 Pt. I (paras. 1-7) modified (1.12.2001) by S.I. 2001/3083, arts. 1(2), 15(2); S.I. 2001/3538, art. 2(1)
Sch. 15 Pt. I (paras. 1-7) amended (temp. from 11.8.2001 to 1.12.2001) by S.I. 2001/2659, arts. 1(2), 2(2); S.I. 2001/3538, art. 2(1)
1U.K.If 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.
2U.K.If the authorised person (“PP”) is a partnership, a person who is or has been a member, manager, employee or agent of PP.
3U.K.If 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.
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
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
6U.K.If the authorised person (“IP”) is an individual, a person who is or has been an employee or agent of IP.
7U.K.For 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.
8U.K.A 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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