Status: You are viewing the version of the handbook as on 2019-09-14.

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 or the auction regulation27) of an EEA State (other than the United Kingdom) in relation to the EEA firm concerned.
      1. (2) (in relation to a UK firm or UCITS scheme)23 the 49FCA or PRA as the case may be.49
      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)(26)41 of MiFID) of the EEA State which is the Home State in relation to the EEA market operator concerned.11
      1. (5) (in relation to an EEA UCITS scheme) the competent authority of the EEA State in which the scheme is authorised.23
      1. (6) (for a data reporting services provider) the competent authority (within the meaning of article 4(1)(26) of MiFID) of the EEA State which is the Home State for that data reporting services provider.41
      1. (7) in relation to an EEA authorised payment institution or an EEA registered account information service provider, the competent authority designated in accordance with article 22 of the Payment Services Directive as being responsible for the authorisation or registration and prudential supervision of that EEA authorised payment institution or EEA registered account information service provider.45
      1. (8) in relation to an EEA authorised electronic money institution, the competent authority designated in accordance with article 3 of the Electronic Money Directive as being responsible for the authorisation and prudential supervision of that EEA authorised electronic money institution.45