Status: You are viewing the version of the handbook as on 2009-03-31.

Home State regulator

      1. (1) (in relation to an EEA firm) (as defined in paragraph 9 of Schedule 3 to the Act (EEA Passport Rights)) the competent authority (under the relevant Single Market Directive) of an EEA State (other than the United Kingdom) in relation to the EEA firm concerned.
      1. (2) (in relation to a UK firm) the FSA.
      1. (3) (in relation to a Treaty firm) (as defined in paragraph 1 of Schedule 4 to the Act (Treaty Rights)) the competent authority of the firm's Home State for the purpose of its Home State authorisation.
      1. (4) (in REC) the competent authority (within the meaning of Article (4)(1)(22) of MiFID) of the EEA State which is the Home State in relation to the EEA market operator concerned.11