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senior management

      1. 120
        1. (1) [deleted]209
        1. (2) (in SYSC (except SYSC 4.3A)161 209and in accordance with article 4(1)(10) of the UK CRR180) those persons who are a natural person and who exercise executive functions in an institution and who are responsible and accountable to the management body for the day-to-day management of the institution.
        1. (3) (in SYSC 4.3A and COBS 2.3B180) those persons who are a natural person, who exercise executive functions in common platform firms and who are responsible and accountable to the management body for the day-to-day management of the firm, including for the implementation of the policies concerning the distribution of services and products to clients by it and its personnel.161
        [Note: article 4.1(37) of MiFID]180
        1. (4) (in MIFIDPRU) those natural persons who exercise executive functions in MIFIDPRU investment firms and who are responsible and accountable to the management body for the day-to-day management of the firm, including for the implementation of the policies concerning the distribution of services and products to clients by it and its personnel.209