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MiFID investment firm

39(in summary) a firm to which MiFID applies including, for some purposes only, a credit institution and collective portfolio management investment firm84 .(in full) a firm which is:

  1. (1) an investment firm with its head office in the EEA (or, if it has a registered office, that office);
  2. (2) a BCD credit institution (only when providing an investment service or activity in relation to the rules implementing the Articles referred to in Article 1(2) of MiFID);
  3. (3) a collective portfolio management investment firm84 (only when providing the services referred to inarticle 6(4) AIFMD or84 Article75 6(3)75 of the UCITS Directive in relation to the rules implementing the articles of MiFID referred to in article 6(6) of AIFMD or84 Article75 6(4)75 of84 the UCITS Directive and for a full-scope UK AIFM the rules implementing article 12(2)(b) of AIFMD84);

unless, and to the extent that, MiFID does not apply to it as a result of Article 2 (Exemptions) or Article 3 (Optional exemptions) of MiFID.