Status: You are viewing the version of the handbook as on 2016-02-03.

investment firm

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        1. (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.
        [Note: article 4(1)(1) of MiFID]
        1. (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.
        1. (3) (in IFPRU, GENPRU 3 and BIPRU 12) has the meaning in article 4(1)(2) of the EU CRR.
        1. (4) (in GENPRU (except GENPRU 3) and BIPRU (except BIPRU 12) any of the following:
          1. (a) a firm in (3); and
          1. (b) a BIPRU firm.
        1. (5) (in SYSC 19A(IFPRU Remuneration Code)136) a firm in (3).
        1. (6) (in SYSC 19D (Dual-regulated firms Remuneration Code)) a firm in (3) that is a UK designated investment firm.136