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employee

  1. (1) (for all purposes except those in (2), (3) and (4)105) 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:
    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)
  3. an individual:410
      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.
  4. (3) (for the purposes of SYSC 5.2 (Certification regime) and the definition of certification employee) has the meaning in section 63E(9) of the Act (Certification of employees by relevant authorised persons) which, in summary, says an employee of a person (“A”) includes a reference to a person who:105
    1. (a) personally provides, or is under an obligation personally to provide, services to A under an arrangement made between A and the person providing the services or another person, and105
    2. (b) is subject to (or to the right of) supervision, direction or control by A as to the manner in which those services are provided.105
  5. (4) (for the purposes of (Notification of conduct rule breaches and disciplinary action)115 and COCON) has the meaning in section 64A(6) of the Act (Rules of conduct) which, in summary, says an employee of a person (the ‘employer’) includes a reference to a person who:105
    1. (a) personally provides, or is under an obligation personally to provide, services to the employer under an arrangement made between the employer and the person providing the services or another person; and105
    2. (b) is subject to (or to the right of) supervision, direction or control by the employer as to the manner in which those services are provided.105
  6. However, where a Handbook provision in (4) refers to certification employees, (3) still applies to the definition of certification employee.105
  7. (5) for the purposes of (1) and (2), “employment” is to be construed accordingly.118