Status: You are viewing the version of the handbook as on 2015-11-02.

EEA firm

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        1. (in accordance with paragraph 5 of Schedule 3 to the Act (EEA Passport Rights)) any of the following, if it does not have its relevant office in the United Kingdom:
          1. (a) an investment firm (as defined in article 4(1) of MiFID) which is authorised (within the meaning of article 5) by its Home State regulator;
          1. (b) a credit institution (as defined in article 4(1)(1) of the EU CRR)
          1. (c) a financial institution (as defined in article 41(26) of the EU CRR) which is a subsidiary of the kind mentioned in article 34 of the CRD and which fulfils the conditions in articles 33 and 34;
          1. (d) an undertaking pursuing the activity of direct insurance (within the meaning of article 2 of the Consolidated Life Directive (No. 2002/83/EC) or of Article 1 of the First Non-Life Directive (No. 73/239/EEC)) which has received authorisation under Article 4 of the Consolidated Life Directive or Article 6 of the First Non-Life Directive from its Home State regulator;
          1. (e) an IMD insurance intermediary or IMD reinsurance intermediary (as defined in article 2 of the IMD) which has registered under article 3 of that directive with its Home State regulator;
          1. (f) (from 1 July 2011) a management company;
          1. (g) an undertaking pursuing the activity of reinsurance (within the meaning of article 1 of the Reinsurance Directive) which has received authorisation under article 3 of the Reinsurance Directive from its Home State Regulator;
          1. (h) a person who has received authorisation under article 18 of the auction regulation;
          1. (hh) an AIFM which is authorised (under article 6 of AIFMD) by its Home State regulator;
          1. (hhh) an MCD credit intermediary admitted under article 29(1) of the MCD by its home state regulator to carry out all or part of the activities in article 4(5) of the MCD, or to provide advisory services (as defined in article 4(21) of the MCD);102
        1. in this definition, relevant office means:
          1. (i) in relation to a firm falling within sub-paragraph (e), which has a registered office, its registered office;
          1. (ii) in relation to any other firm falling within any other paragraph, its head office.