Reset to Today

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

EEA firm

  1. 90
    1. (in accordance with paragraph 5 of Schedule 3 to the Act (EEA Passport Rights)) any of the following, if it does not have its relevant office in the United Kingdom:
      1. (a) an investment firm (as defined in article 4(1) of MiFID) which is authorised (within the meaning of article 5) by its Home State regulator;
      2. (b) a credit institution (as defined in article 4(1)(1) of the EU CRR)
      3. (c) a financial institution (as defined in article 41(26) of the EU CRR) which is a subsidiary of the kind mentioned in article 34 of the CRD and which fulfils the conditions in articles 33 and 34;
      4. (d) an undertaking pursuing the activity of direct insurance (within the meaning of article 2 of the Consolidated Life Directive (No. 2002/83/EC) or of Article 1 of the First Non-Life Directive (No. 73/239/EEC)) which has received authorisation under Article 4 of the Consolidated Life Directive or Article 6 of the First Non-Life Directive from its Home State regulator;
      5. (e) an IMD insurance intermediary or IMD reinsurance intermediary (as defined in article 2 of the IMD) which has registered under article 3 of that directive with its Home State regulator;
      6. (f) (from 1 July 2011) a management company;
      7. (g) an undertaking pursuing the activity of reinsurance (within the meaning of article 1 of the Reinsurance Directive) which has received authorisation under article 3 of the Reinsurance Directive from its Home State Regulator;
      8. (h) a person who has received authorisation under article 18 of the auction regulation;
      9. (hh) an AIFM which is authorised (under article 6 of AIFMD) by its Home State regulator;
    2. in this definition, relevant office means:
      1. (i) in relation to a firm falling within sub-paragraph (e), which has a registered office, its registered office;
      2. (ii) in relation to any other firm falling within any other paragraph, its head office.