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  1. 33
    1. (1) (in relation to a credit institution) the EEA State in which the credit institution has been authorised in accordance with the CRD.
    2. (2) (in relation to an investment firm):
      1. (a) if the investment firm is a natural person, the EEA State in which his head office is situated;
      2. (b) if the investment firm is a legal person, the EEA State in which its registered office is situated; or
      3. (c) if the investment firm has, under its national law, no registered office, the EEA State in which its head office is situated.
      [Note: article 4(1)(55)(a)41 of MiFID]
    3. (3) (in relation to a UCITS management company) the EEA State in which the management company's registered office is situated;
    4. (4) [deleted]4549
    5. (5) (in relation to an IDD insurance intermediary43 or an IDD reinsurance intermediary43):
      1. (a) where the intermediary43 is a natural person (P), the EEA State in which P’s43 residence is situated43;
      2. (b) where the intermediary43 is a legal person, the EEA State in which its registered office is situated or, if under its national law it has no registered office, the EEA State in which its head office is situated.
      [Note: article 2(1)(10) of the IDD]43
    6. (6) (except in REC) (in relation to a market) the EEA State in which the registered office of the body which provides training facilities is situated or, if under its national law it has no registered office, the EEA State in which that body's head office is situated.
    7. (7) [deleted]4549
    8. (8) [deleted]4549
    9. (9) [deleted]454937
    10. (10) (in relation to a UCITS) the EEA State in which the unit trust, common fund or investment company is established and authorised under article 5 of the UCITS Directive.
    11. (11) [deleted]4549
    12. (12) (in relation to a person who has received authorisation under article 18 of the EU auction regulation45) the EEA state in which the person is established and authorised under the EU auction regulation45.
    13. (13) (for an AIF) the EEA State in which:
      1. (a) the AIF is authorised or registered under applicable national law; or
      2. (b) if the AIF is neither authorised nor registered in an EEA State, the EEA State in which the AIF has its registered office and/or head office.
      [Note: article 4(1)(p) of AIFMD]
    14. (14) (for an AIFM) the EEA State in which the AIFM has its registered office.[Note: article 4(1)(q) of AIFMD]
    15. (15) (for an MCD credit intermediary):39
      1. (a) where the MCD credit intermediary is a natural person, the EEA State in which his head office is situated; or39
      2. (b) where the MCD credit intermediary is a legal person, the EEA State in which its registered office is situated or, if under its national law it has no registered office, the EEA State in which its head office is situated.39
      [Note: article 4(19) of the MCD]39
    16. (16) (for a data reporting services provider):41
      1. (a) the EEA State in which its head office is situated, for a natural person;41
      2. (b) the EEA State in which its registered office is situated, for a legal person;41
      3. (c) if the data reporting services provider has, under its national law, no registered office, the EEA State in which its head office is situated.41[Note: article 4(1)(55)(c) of MiFID]41
    17. (17) (in relation to a TP firm) the EEA State that was indicated by the EU measure under which, immediately before IP completion day50, the TP firm derived its authorisation to carry on a regulated activity in the UK.45
    18. (18) (in relation to the operator or depositary of an OFR recognised scheme) the country or territory in which the operator or depositary (as applicable) of the OFR recognised scheme is authorised.58
    19. (19) (in relation to an OFR recognised scheme, and other than a scheme in (10)), the country or territory in which the scheme is authorised.58