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MiFID investment firm

      1. (1) (in summary) a firm to which MiFID would apply if it had its head office or registered office in the EEA including, for some purposes only, a credit institution and collective portfolio management investment firm.
      1. (2) (in full) a firm which is:
        1. (a) an investment firm with its head office in the UK (or, if it has a registered office, that office);
        1. (b) a CRD credit institution (only when providing an investment service or activity or when selling, or advising clients in relation to, structured deposits for the purposes of:
          1. (i) the rules corresponding to the articles referred to in article 1(3) and article 1(4) of MiFID;
          1. (ii) the requirements imposed upon it by and under MiFIR; and
          1. (iii) the requirements imposed upon it by onshored regulations which were previously EU regulations made under MiFID); or
        1. (ba) a CRD credit institution (only when providing an investment service or activity) in relation to COMP or FEES 6);
        1. (c) a collective portfolio management investment firm (only when providing the services referred to in article 6(4) AIFMD or article 6(3) of the UCITS Directive in relation to the rules which implemented the articles of MiFID referred to in article 6(6) of AIFMD or article 6(4) of the UCITS Directive and for a full-scope UK AIFM where relevant, the rules which implemented article 12(2)(b) of AIFMD);
        unless, and to the extent that, it is a person to which Part 1 of Schedule 3 to the Regulated Activities Order or regulation 8 of the MiFI Regulations applies.
      1. (3) [deleted]
Glossary Related Taxonomy Legal Instruments