Status: You are viewing the version of the handbook as on 2012-12-13.

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
      1. 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
        1. 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