relevant person
5
- 45(1) (in COMP) a person (other than a person with an interim RSRB permission because he has submitted an application for interim permission in accordance with article 32(1) of the Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2009 (SI 2009/1342) which has been approved by the FSA) 76for claims against whom the compensation scheme provides cover, as defined in COMP 6.2.1 R.
- (2) any of the following:
- (a) a director, partner or equivalent, manager or appointed representative (or where applicable, tied agent) of the firm;
- (b) a director, partner or equivalent, or manager of any appointed representative (or where applicable, tied agent) of the firm;
- (c) 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 54a tied agent of the firm and who is involved in the provision by the firm of regulated activities;
- (d) a natural person who is directly 54involved 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.
[Note: article 2(3) of the MiFID implementing Directive]