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MIFIDPRU investment firm

149an FCA investment firm as defined in section 143A of the Act. In summary, this means an investment firm that meets the following conditions:

  1. (1) it is an authorised person;
  2. (2) it is not a designated investment firm;
  3. (3) it has its registered office or, if it has no registered office, its head office in the UK;
  4. (4) it is not a person who is excluded from the definition of an “investment firm” in article 3(1) of the Regulated Activities Order by paragraphs (a) or (b) of that definition; and
  5. (5) it is not an investment firm that has a Part 4A permission to carry on regulated activities as an exempt investment firm within the meaning of regulation 8 of the Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017.