Glossary

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Term Definition Legal instruments

relevant person

02/04/2015

means any of the following:

(1) a director, partner or equivalent, manager or appointed representative (or where applicable, tied agent) of the firm;

(2) a director, partner or equivalent, or manager of any appointed representative (or where applicable, tied agent) of the firm;

(3) an employee of the firm or of an appointed representative (or where applicable, tied agent) of the firm; as well as any other natural person whose services are placed at the disposal and under the control of the firm or an appointed representative or a tied agent of the firm and who is involved in the provision by the firm of regulated activities; or

(4) a natural person who is directly involved in the provision of services to the firm or its appointed representative (or where applicable, tied agent) under an outsourcing arrangement, for the purpose of the provision by the firm of regulated activities.