investment firm
- 124[Note: article 2(1A) of MiFIR166]160
- (1) any person150199 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) (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) [deleted]184160166143
- (4) [deleted]184
- (5) [deleted]184136
- (6) (in SYSC 19D (Dual-regulated firms Remuneration Code)) a firm in (3) that is a UK designated investment firm.136