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investment firm

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investment firm

(1) any person whose regular occupation or business is the provision of one or more investment services to third parties and/or the performance of one or more investment activities on a professional basis.57

[Note: article 4(1)(1) of MiFID]

(2) (in REC) a MiFID investment firm, or a person who would be a MiFID investment firm if it had its head office in the EEA.57

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