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  2. Point in time
    2018-10-03

BIPRU firm

50a firm, as defined in article 4(1)(2)(c) of the EU CRR that satisfies the following conditions:

  1. (a) it is authorised to provide one or more the following investment services:
    1. (i) execution of orders on behalf of clients;
    2. (ii) portfolio management; and
  2. (b) it may provide one or more of the following investment services:
    1. (i) reception and transmission of orders in relation to one or more financial instruments;
    2. (ii) investment advice;
    but excluding firms of the type listed in BIPRU 1.1.7 R (Exclusion of certain types of firm from the definition of BIPRU firm).