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You are viewing the version of the document as on 2022-01-02.

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UK parent investment firm

92a MIFIDPRU investment firm that:

  1. (1) is part of an investment firm group;
  2. (2) holds a participation in, has a subsidiary that is, or for the purposes of MIFIDPRU 2.5 is the deemed parent undertaking of:
    1. (a) a MIFIDPRU investment firm;
    2. (b) a designated investment firm;
    3. (c) a financial institution;
    4. (d) an ancillary services undertaking;
    5. (e) a tied agent; or
    6. (f) a credit institution; and
  3. (3) is not a subsidiary of:
    1. (a) a MIFIDPRU investment firm; or
    2. (b) an investment holding company or mixed financial holding company that is incorporated in the UK or that has its principal place of business in the UK.