- (1) (in relation to PROD 1.3 and PROD 3) a firm which offers, recommends or sells investments or provides investment services to clients.
- [Note: recital 15 to the MiFID Delegated Directive]
- (2) (in relation to PROD 1.4 and PROD 4) a firm which advises on or proposes contracts of insurance which it does not manufacture.
- (3) (in relation to PROD 1.7 and PROD 7) a firm which advises on or proposes funeral plan contracts which it does not manufacture.
- (4) (in relation to PRIN) a firm which offers, sells, recommends, advises on, arranges, deals, proposes or provides a product.
- (5) (in ESG) a firm which offers, sells, recommends, advises on, arranges, deals, proposes or provides a sustainability product or a recognised scheme (including an ETF that is a recognised scheme).
- (6) (in DISC) a person who distributes a consumer composite investment.
distributor
Policy Statements Glossary Related Taxonomy Consultation Papers Legal Instruments
