participant firm
- (1) (except in 32
FEES 6
32
) a firm or a member 16 other than:
- (a) (in accordance with section 213(10) of the Act (The compensation scheme) and regulation 2 of the Electing Participants Regulations (Persons not to be regarded as relevant persons) an incoming EEA firm which is:
- (i) a credit institution ;
- (ii) an ISD investment firm ; or
- (iii) a UCITS management company; 16
- (iv) both (i) and (ii); or16
- (v) an IMD insurance intermediary or an IMD reinsurance intermediary which is neither (i) or (ii);16
- (b) a service company;
- (c) [deleted]
- (d) [deleted]
- (e) an underwriting agent , or members' adviser , in respect of advising on syndicate participation at Lloyd's or managing the underwriting capacity of a Lloyd's syndicate as a managing agent at Lloyd's;
- (f) an authorised professional firm that is subject to the rules of the Law Society (England and Wales) or the Law Society of Scotland;
- (g) an ICVC;
- (h) a UCITS qualifier;
- (i) an ELMI in relation to issuing e-money.
- (a) (in accordance with section 213(10) of the Act (The compensation scheme) and regulation 2 of the Electing Participants Regulations (Persons not to be regarded as relevant persons) an incoming EEA firm which is: