investment firm definition

investment firm means any legal person 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;

investment firm means an investment firm as defined in point (1) of Article 4(1) of Directive 2014/65/EU;

investment firm means investment firm as defined in Article 4(1)(1) of Directive 2014/65/EU;

Examples of investment firm in a sentence

• The Company is authorised and regulated by the Cyprus Securities and Exchange Commission (the “CySEC”) as a Cyprus Investment Firm (CIF) to offer certain Investment and Ancillary Services and under the Investment Services and Activities and Regulated Markets Law of 2017 (L.

• The Company is a Cypriot Investment Firm (“CIF”), with registration number HE351726.

• Where you are a Retail Client, you also consent to being provided with a Client Assets KID, which we are obliged to provide Retail Clients with under the Investment Firm Regulations.

• It is further understood that the Company reserves the right to impose additional due diligence requirements to accept Clients residing in certain countries due to the requirement under Applicable Regulations for an Investment Firm (IF) to take a risk based approach when performing due diligence on Clients.

• The Company shall be allowed to forward any information from the Client to any Investment Firm or Credit Institution or third party acting as intermediary or any Investment and Ancillary services for the Client in accordance with Section 37(1) of the Law.

More Definitions of investment firm

investment firm means investment firm as defined in point (2) of Article 4(1) of Regulation (EU) No 575/2013;

investment firm means a person as defined in point (1) of Article 4(1) of Directive 2004/39/EC, which is subject to the requirements imposed by that Directive, excluding the following:

investment firm means an investment firm as defined in point (2) of Article 4(1) of Regulation (EU) No 575/2013 that is subject to the initial capital requirement laid down in Article 28(2) of Directive 2013/36/EU;

investment firm means an investment firm as defined in point (1) of Article 4(1) of

investment firm means any Subsidiary or other Person engaged, directly or indirectly, primarily in the business (the “Investment Management Business”) of providing investment advisory, management, distribution or administrative services to Funds (or investment accounts or funds which will be included as Funds after the Borrower acquires a direct or indirect interest in such other Person) and in which the Borrower, directly or indirectly, has purchased or otherwise acquired, or has entered into an agreement to purchase or otherwise acquire, Capital Stock or other interests entitling the Borrower, directly or indirectly, to a share of five percent (5.00%) or more of the revenues, earnings or value thereof.

investment firm means a Società d’Intermediazione Mobiliare or the Community or extra-Community investment firm provided for by article 1, paragraph 1 (h) of the CLF.

investment firm means any person whose regular occupation or business is the provision of one or more investment services to third parties or the performance of one or more investment activities on a professional basis or both but does not include a natural person unless -