GENE 8.5.3 Annual report on controllers (FSR, article 40)
(1) The annual report on controllers that an authorised firm is required to give to the Regulatory Authority under FSR, article 40 must include:
(a) the name of each person who was a controller of the firm at any time during the financial year;
(b) the type of control (that is, whether by way of shareholding or of voting rights) held by each controller;
(c) if applicable, the level of control (expressed as a percentage) held by each controller;
(d) for each controller that is an individual — his or her date and place of birth; and
(e) for each controller that is a body corporate — its place of incorporation, address and registered number.
(2) In subrule (1):
(a) a reference to an individual's place of birth is a reference to the country, and the city or town, in which that birth happened; and
(b) a reference to a body corporate's place of incorporation is a reference to the jurisdiction of its incorporation and the city or town in which its principal office is located.
|Amended by RM/2018-4 (as from 1st August 2018).|