Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

You are viewing the version of the document as on 2021-11-03.

EEA firm

  1. 90
    1. 137any 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 undertaking100 which has received authorisation under 100article 14 of the Solvency II Directive100 from its Home State regulator;
      5. (e) an IDD insurance intermediary126 or IDD reinsurance intermediary126 (as defined in article 2 of the IDD126)126 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) 100[deleted]100
      8. (h) a person who has received authorisation under article 18 of the EU auction regulation137;
      9. (hh) an AIFM which is authorised (under article 6 of AIFMD) by its Home State regulator;
      10. (hhh) an MCD credit intermediary admitted under article 29(1) of the MCD by its home state regulator to carry out all or part of the activities in article 4(5) of the MCD, or to provide advisory services (as defined in article 4(21) of the MCD);102
    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.