investment firm
- (1) any person 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.57
- (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 EEA.57
[Note: article 4(1)(1) of MiFID]