Paragraph 17

In section 474(1) (minor definitions)^f1—

(a)

in the definition of “MiFID investment firm”—

(i)

in the opening words, for “Article 4.1.1 of Directive 2014/65/EU” substitute “Article 2.1A of Regulation (EU) No. 600/2014”; and

(ii)

in paragraph (a), for the words from “to which that Directive” to the end substitute “which is exempted from the definition of “investment firm” by Schedule 3 to the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 (S.I. 2001/544)^f2,”; and

(b)

in the definition of “traded company”, before “regulated market” insert “UK”.

Annotations

Footnotes

f1: Section 474(1) was amended by S.I. 2915/980; there are other amending instruments but none is relevant.
f2: S.I. 2001/544, amended by S.I. 2017/488 and XXXX/XXX; there are other amending instruments but none is relevant.