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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

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senior personnel

      1. (1) those persons who effectively direct the business of the 137firm, CBTL firm, recognised investment exchange or data reporting services provider161234 which could include the membership of the161234 governing body and other individuals161234 who effectively direct the business of the person161234. 137137103
      1. (2) (in relation to a management company180) the person or persons who effectively conduct the business of the management company.103

    [Note: article 3(4) of the UCITS implementing Directive]180