Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

You are viewing the version of the document as on 2022-01-04.

investment firm

  1. 124[Note: article 2(1A) of MiFIR166]160
    1. (1) any person150198 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.
    2. (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 UK166.
    3. (3) [deleted]184160166143
    4. (4) [deleted]184
      1. (5) [deleted]184136
      2. (6) (in SYSC 19D (Dual-regulated firms Remuneration Code)) a firm in (3) that is a UK designated investment firm.136
      [Note: article 2(1A) of MiFIR166]160