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FCA Handbook
Glossary
investment firm

You are viewing the version of the document as on 2024-04-16.

investment firm

124
1. (1) any person 150 196 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 2(1A) of MiFIR166]
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 UK 166.
1. (3) [deleted]184 160 166 143
160
1. (4) [deleted]184
1. (5) [deleted]184 136
1. (6) (in SYSC 19D (Dual-regulated firms Remuneration Code)) a firm in (3) that is a UK designated investment firm.136

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investment firm