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You are viewing the version of the document as on 2023-12-14.

firm

  1. (1) 99an authorised person, but not a professional firm unless it is an authorised professional firm (see also GEN 2.2.18 R for the position of an authorised partnership or unincorporated association which is dissolved).
  2. (2) (in DISP 2 and 3) includes, in accordance with the Ombudsman Transitional Order, unauthorised persons subject to the Compulsory Jurisdiction in relation to relevant existing complaints and relevant new complaints.
  3. (3) (in DISP 2 and 3) includes, in accordance with the Mortgage and General Insurance Complaints Transitional Order, former firms subject to the Compulsory Jurisdiction in relation to relevant transitional complaints.
  4. (4) (in DISP 2 and 3) includes, as a result of the insurance market direction given in DISP 2.1.7 D under section 316 of the Act (Direction by a regulator), members of the Society of Lloyd's.
  5. (5) (in FEES 3, FEES 4, FEES 5, 119FEES 7, FEES 7A and FEES 7B127) includes a fee-paying payment service provider and a fee-paying electronic money issuer in accordance with FEES 3.1.1A R, FEES 4.1.1A R, FEES 5.1.1A R, FEES 7.1.1 R, FEES 7A.1.1R(1) and FEES 7B.1.1R127119.
  6. (6) (in CONRED):
    1. (a) an authorised person; or
    2. (b) a person who was an authorised person when the relevant activity took place but has since ceased to be one.
  7. 74(7) (in DISP 2 and 3) includes, in accordance with the transitional provisions in article 11 of the Regulated Activities Amendment Order, unauthorised persons subject to the Compulsory Jurisdiction in relation to relevant existing credit-related complaints and relevant new credit-related complaints.
  8. 87(8) (in SYSC 18 with the exception of the guidance107161 in SYSC 18.3.9G):
    1. (a) a 93UK SMCR banking firm121 except a small deposit taker; and
    2. (b) a firm as referred to in Chapter 1.1 of the PRA Rulebook: Solvency II Firms: Whistleblowing105.
  9. 113(9) (in FEES 4) includes a recognised investment exchange and a data reporting services provider (other than an incoming data reporting services provider)107161 in accordance with FEES 4.1.1AR.
  10. (10) (in DISP 2 and 3) includes, in accordance with the Claims Management Order, unauthorised persons subject to the Compulsory Jurisdiction in relation to relevant claims management complaints.123
  11. (10A) (in DISP 2 and 3) includes, in accordance with the Funeral Plans Order, an unauthorised person subject to the Compulsory Jurisdiction in relation to a relevant transitional funeral plan complaint.137
  12. (11) (in PRIN 2 and PRIN 2A145) includes an electronic money institution, a payment institution and a registered account information service provider134.126