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  • SCHEDULE SCHEDULE INFORMATION AND INVESTIGATIONS (CONNECTED PERSONS)

    Sections 29(11) and 33(4)

    • Part 1 Rules for Specific Bodies

      1. Corporate bodies

      If the licensed person ("BC") is a body corporate, a person who is or has been —
      (a) an officer or manager of BC or of a parent undertaking of BC;
      (b) an employee of BC;
      (c) an agent of BC or of a parent undertaking of BC.
      2. Partnerships

      If the licensed person ("PP") is a partnership, a person who is or has been a member, manager, employee or agent of PP.
      3. Individuals

      If the licensed person ("IP") is an individual, a person who is or has been an employee or agent of IP.
      4. Application to sections 33 and 34

      For the purposes of sections 33 and 34, if the person under investigation is not a licensed person the references in this Part of this Schedule to a licensed person are to be taken to be references to the person under investigation.

    • Part 2 Additional Rules

      5. A person who is, or at the relevant time was, the partner, manager, employee, agent, banker, auditor, actuary or lawyer of —
      (a) the person under investigation ("A");
      (b) a parent undertaking of A;
      (c) a subsidiary undertaking of A;
      (d) a subsidiary undertaking of a parent undertaking of A; or
      (e) a parent undertaking of a subsidiary undertaking of A.