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BIPRU firm


    a firm, as defined in article 4(1)(2)(c) of the

    EU CRR

    that satisfies the following conditions:

      1. (a) it is authorised to provide one or more the following investment services:
        1. (i) execution of orders on behalf of clients;
        1. (ii) portfolio management; and
      1. (b) it may provide one or more of the following investment services:
        1. (i) reception and transmission of orders in relation to one or more financial instruments;
        1. (ii) investment advice;
        but excluding firms of the type listed in BIPRU 1.1.7 R (Exclusion of certain types of firm from the definition of BIPRU firm).