Status: You are viewing the version of the handbook as on 2013-12-31.

firm

      1. (1) in the FCA Handbook,132 an 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).33134
      1. (1A) in the PRA Handbook, a PRA-authorised person.132
      1. (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.33134
      1. (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.33134
      1. (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 132a regulator)132, members of the Society of Lloyd's.33134
      1. 39(5) (in FEES 3, FEES 4, FEES 5 and FEES 7)50 includes a fee-paying payment service provider and a fee-paying electronic money issuer50 in accordance with FEES 3.1.1A R, FEES 4.1.1A R, FEES 5.1.1A R and FEES 7.1.1 R.50
      1. 63(6) (in CONRED):
        1. (a) an authorised person; or
        1. (b) a person who was an authorised person when the relevant activity took place but has since ceased to be one.