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Term Definition Legal instruments

related parties

01/02/2014

 THIS DEFINITION ONLY APPLIES TO THE RELATED PARTY TRANSACTION RISK PART

means in relation to a firm:

(a) any person that it controls;

(b) its affiliated companies;

(c) its and its affiliated companies’ controllers;

(d) its and its affiliated companies’ directors;

(e) its and its affiliated companies’ senior management;

(f) its and its affiliated companies’ key employees;

(g) close family members of any natural person listed in (a) to (f) above;

(h) direct and related interests of any person listed in (a) to (g) above; and

(i) any person that would fall into (a) to (h) above after the relevant transaction has occurred.

 Instruments