Status: You are viewing the version of the handbook as on 2016-10-03.

non-directive firm

    32(in SUP 11 (Controllers and close links) and SUP 16 (Reporting requirements)) (in accordance with the Financial Services and Markets Act 2000 (Controllers) (Exemption) Order 2009 (SI 2009/774)) a UK domestic firm other than:

      1. (a) a credit institution authorised under the Banking Consolidation Directive;
      1. (b) an investment firm authorised under MIFID;
      1. (c) a management company as defined in article40 2(1)(b)40 of the UCITS Directive, authorised under that directive;
      1. (d) 59a Solvency II firm.59