Content Options

Add to favourites

View Options

More Resources:

External link Handbook Publications

non-directive firm

      1. 75(1) (in SUP 11 (Controllers and close links) and SUP 16 (Reporting requirements)) (in accordance with the Financial Services and Markets Act 2000 (Controllers) (Exemption) Order 2009 (SI 2009/774)) a UK domestic firm other than:
        1. (a) a credit institution that has permission under Part 4A of the Act to carry on the regulated activity of accepting deposits81;
        1. (b) an investment firm that has permission under Part 4A of the Act to carry on regulated activities relating to investment services and/or activities in the UK81;
        1. (c) a management company as defined section 237 of the Act which is authorised by the FCA81;
        1. (d) a Solvency II firm.
      1. (2) (in FEES 4 Annex 1AR Part 3) has the meaning given to it in the Glossary of the PRA Rulebook75.