UK investment firm definition

UK investment firm means a UK institution which—
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UK investment firm means a firm which is established in the United Kingdom and authorised under the law of the United Kingdom as an investment firm to carry out the equivalent of the regulated activity and ancillary service specified in regulation 12(1)(e).
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UK investment firm means an investment firm as defined in subsections (1) and (2)(a) of section 258A of the Banking Act 2009.
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Examples of UK investment firm in a sentence

  • Select the option that best describes where the funds you will transfer to Walker Crips originate fromUK bank UK investment firm Transfer from an unregulated firm (UK or overseas) Overseas bank Overseas investment firm Internal transfer from existing Walker Crips accountOther Employment statusOccupation details - required (previous details, if retired):4.

  • The draft rules will apply to any UK investment firm or credit institution that would require authorisation under MiFID or the Capital Requirements Directive or an ‘exempt commodities firm’1 who wishes to bid in emission auctions.

  • It would have both commercial and other implications for both clearing members that do not fall into a qualifying category and their UK investment firm clients.

  • Cash is also held to cover regulatory capital requirements and tax liabilities.To enable the Group to offer a wide range of tax wrappers there are three regulated entities within the Group,a UK investment firm, a UK life insurance company and an Isle of Man life insurance company.

  • Regulation 14(2) of this instrument therefore amends the definition of UK OTF to clarify that it is an OTF operated by a UK investment firm or a UK market operator.

  • BCSL is a dual-regulated UK investment firm and supports the business of BBPLC by providing access to equity markets in Europe and Asia through exchange memberships and clearing relationships.

  • That is, the harmonisation of rules under a particular Single Market Directive reassures each Member State within the EU that, for example, a French customer will not be put at a greater risk by using a German or UK investment firm.

  • Among the new customers we signed are Swedish broadcaster TV4, US hospital group St Jude and UK investment firm Triton.

  • To minimise the transition to the new regime the Regulation provides that a UK investment firm complying with the limiting requirements on 1st November automatically becomes an exempt firm on that date.

  • Our proposals set out a location requirement for clearing members of UK investment firm clients who would like to apply for and benefit from K-CMG.


More Definitions of UK investment firm

UK investment firm means an investment firm having its registered office in the United Kingdom of Great Britain and Northern Ireland;
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UK investment firm means an investment firm whose home Member State (within the meaning given by Article 4.1.20(a) of the markets in financial instruments directive) is the United Kingdom.
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Related to UK investment firm

  • 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;

  • collective investment scheme means any arrangements with respect to property of any description, including money, the purpose or effect of which is to enable Persons taking part in the arrangements (whether by becoming owners of the property or any part of it or otherwise) to participate in or receive profits or income arising from the acquisition, holding, management or disposal of the property or sums paid out of such profits or income.

  • Alternative investment means an investment in a private equity fund, venture fund, hedge fund, or absolute return fund.

  • Independent Firm has the meaning set forth in Section 10.03 of this Agreement.

  • Investment adviser representative means an individual employed by or associated with an investment adviser or federal covered investment adviser and who makes any recommendations or otherwise gives investment advice regarding securities, manages accounts or portfolios of clients, determines which recommendation or advice regarding securities should be given, provides investment advice or holds herself or himself out as providing investment advice, receives compensation to solicit, offer, or negotiate for the sale of or for selling investment advice, or supervises employees who perform any of the foregoing. The term does not include an individual who:

  • Alternative Investment Vehicle means an entity created in accordance with the Operative Documents of a Borrower to make investments and that has the right to call on Capital Commitments directly from Investors.

  • Alternative Investments means investments in the said State which are within the ability and competence of the Company or of corporations which are related to the Company for the purposes of the Companies (Western Australia) Code and which are approved by the Minister from time to time as alternative investments for the purpose of this Agreement (which approval shall not be unreasonably withheld in the case of an investment which would add value or facilitate the addition of value, beyond mining, to the mineral resources of the said State);”;

  • Qualifying investment means a capital investment in real property including the purchase price of land and existing buildings, site preparation, building construction, and long-term lease costs. “Qualifying investment” also means a capital investment in depreciable assets.

  • Investment Adviser or "Adviser" means a party furnishing services to the Trust pursuant to any contract described in Article IV, Section 7(a) hereof;

  • Investment Strategy is the processes and policies implemented by the Investment Manager for pursuing a particular investment objective managed by an Investment Team.

  • PIPE Investment has the meaning specified in the Recitals hereto.

  • Capital investment means an investment in real property, personal property, or both, at a

  • Sub-Investment Manager means for each Fund any sub-investment manager or sub-investment managers indicated in the relevant Supplement and any sub-investment manager that the relevant Investment Manager may appoint in the future to manage the Fund, provided that disclosure of any such sub-investment managers appointed by the Investment Managers will be provided to Shareholders upon request and details thereof will be disclosed in the periodic reports to Shareholders, and provided further that each Sub-Investment Manager may appoint a sub-investment manager/advisor to manage/advise any portion of the assets of any Fund to which it has been appointed Sub-Investment Manager in accordance with the requirements of the Central Bank Rules;

  • Investment Amount means the dollar amount to be invested by Investor to purchase Put Shares with respect to any Put as notified by the Company to Investor in accordance with Section 2.2.

  • Independent Financial Adviser means an independent financial institution of international repute appointed by the Company at its own expense.

  • Non-Lead Securitization Determination Date means the “determination date” (or any term substantially similar thereto) as defined in the related Non-Lead Securitization Servicing Agreement.

  • Recognised Investment Exchange means a recognised investment exchange as defined by section 285 of the Financial Services and Markets Xxx 0000;

  • Investment Advisor means any person or entity who is an Authorized Person to give Instructions with respect to the investment and reinvestment of the Fund's Investments.