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Status: You are viewing the version of the handbook as on 2018-12-09.

management body


      1. (1) (other than in (2))112 (in accordance with article 3(7) of CRD and article 4.1(36) of MiFID118) the governing body and senior personnel who are empowered to set the person’s118 strategy, objectives and overall direction, and which oversee and monitor management decision-making in the following:118
        1. 118a common platform firm (in relation to the requirements imposed by or under MiFID or MiFIR); or
        1. 118a recognised investment exchange; or
        1. 118a data reporting services provider.
      1. 112(2) (in COLL and in SYSC 19E and in accordance with article 2(1)(s) of the UCITS Directive), the governing body of a management company or depositary of a UCITS scheme or an EEA UCITS scheme, as applicable, with ultimate decision-making authority comprising the supervisory and the managerial function or only the managerial function, if the two functions are separated.