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employee

  1. (1) (for all purposes except those in (2)) an individual:
    1. (a) who is employed or appointed by a person in connection with that person's business, whether under a contract of service or for services or otherwise; or
    2. (b) whose services, under an arrangement between that person and a third party, are placed at the disposal and under the control of that person;
    but excluding an appointed representative or a tied agent46 of that person.
  2. (2) (for the purposes of:an individual:410
    1. (a)46 COBS 11.7 46 (Personal account dealing);
    2. (aa) GEN 4 (Statutory status disclosure);
    3. (ab) GEN 6.1 (Payment of financial penalties);67
    4. (b) SUP 12 (Appointed representatives); and
    5. (c) TC)
      1. (i) within (1); or
      2. (ii) who is:
        1. (A) an appointed representative or, where applicable, a tied agent46 of the person referred to in (1); or
        2. (B) employed or appointed by an appointed representative or, where applicable, a tied agent46 of that person, whether under a contract of service or for services or otherwise, in connection with the business of the appointed representative or tied agent46 for which that person has accepted responsibility.
    an individual:410