GR-5.2.2
For the purposes of Paragraph GR-5.2.1, 'associate' includes:
(a) In the case of natural persons, a member of the controller's family ;
(b) An undertaking of which a controller is a Director ;
(c) A person who is an employee or partner of the controller ;
(d) If the controller is a legal person, a Director of the controller , a subsidiary of the controller , or a Director of any subsidiary undertaking of the controller ; and
(e) Any other person or undertaking with which the controller has entered into an agreement or arrangement as to the acquisition, holding or disposal of shares or other interests in the investment firm licensee , or under which they undertake to act together in exercising their voting power in relation to the investment firm licensee .
Amended: October 2015
Amended: July 2007
Amended: July 2007