investment firm
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- (1) any person150198 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.
- (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 UK166.
- (3) (in the definition of IDD ancillary insurance intermediary, and160 in IFPRU and BIPRU 12) has the meaning in article 4(1)(2) of the UK CRR166.143
- (4) (in GENPRU (except GENPRU 3) and BIPRU (except BIPRU 12) any of the following:
- (a) a firm in (3); and
- (b) a BIPRU firm.
- (6) (in SYSC 19D (Dual-regulated firms Remuneration Code)) a firm in (3) that is a UK designated investment firm.136