UCITS investment firm

a firm which:

1. (a) is a management company (whether or not it is also the manager of AIFs or the operator of other collective investment schemes); and
1. (b) has a Part 4A permission to manage investments where:
   1. (i) the investments managed include one or more of the financial instruments; and
   1. (ii) the permission extends to activities referred to in article 6(3) of the UCITS Directive as well as those referred to in article 6(2).