investment firm

investment firm
For the purposes of the FSA Handbook, any legal person the regular occupation or business of which is the provision of core investment services (that is, services listed in Schedule 2 to the Regulated Activities Order) for third parties on a professional basis, as defined in Article 1(2) of the Investment Services Directive, and (in relation to a person with his or its head office in a European Economic Area state) a person, who is not a legal person, included as an investment firm by his or its home state.

Practical Law Dictionary. Glossary of UK, US and international legal terms. . 2010.

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