- (1) any person150163 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 EEA.
- (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.