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UCITS investment firm

a firm which:20

  1. 43(a) is a management company (whether or not it is also the operator of other collective investment schemes); and43
  2. 43(b) has a Part IV permission (or an equivalent permission from its Home State regulator) to manage investments where:43
    1. 43(i)43 the investments43 managed include one or more of the instruments listed in Section C of Annex 1 to MiFID; and20
    2. 43(ii)43the permission extends to activities permitted by 43article 6(3)43 of the UCITS Directive as well as those permitted by 43article 6(2).43 20