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exempt CAD firm

  1. (1) (except in SYSC and IPRU(INV)) a firm as defined in article 4(1)(2)(c) of the EU CRR that is authorised to provide only one or more the following investment services:
    1. (a) investment advice;
    2. (b) receive and transmit orders from investors as referred to in Section A of Annex I of MiFID).
  2. (2) (in SYSC and IPRU(INV)) a firm in (1) whose head office (or, if it has a registered office, that office) is in the United Kingdom.