Content Options

Add to favourites

View Options

More Resources:

External link Handbook Publications

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 of119 the following investment services:
        1. (a) investment advice;
        1. (b) receive and transmit orders from investors as referred to in Section A of Annex I of MiFID119.
      1. (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 Kingdom119.