{
  "url": "https://openlegislation.uk/draft-statutory-auditors-and-third-country-auditors-amendment-eu-exit-regulations-2018/regulation-9",
  "json_url": "https://openlegislation.uk/draft-statutory-auditors-and-third-country-auditors-amendment-eu-exit-regulations-2018/regulation-9.json",
  "legislation": "ukdsi/2018/9780111174333",
  "legislation_title": "The Statutory Auditors and Third Country Auditors (Amendment) (EU Exit) Regulations 2018",
  "legislation_url": "https://openlegislation.uk/draft-statutory-auditors-and-third-country-auditors-amendment-eu-exit-regulations-2018",
  "path": "regulation/9",
  "kind": "regulation",
  "number": "9",
  "heading": "Amendment of Part 16 of the Companies Act 2006",
  "text": "In section 539 (minor definitions), in the definition of “MiFID investment firm”—\n(a) for “Article 4.1.1 of Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments,” substitute “Article 2(1A) of Regulation (EU) No. 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No. 648/2012”;\n(b) in paragraph (a), for “to which that Directive does not apply by virtue of Article 2 of that Directive” 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)”.",
  "extent": null,
  "status": null,
  "version": "current",
  "annotations": [
    {
      "type": "footnote",
      "label": "f1",
      "text": "The definition of “MiFID investment firm” was inserted by regulation 3(7)(b) of S.I. 2007/2932, and amended by paragraphs 9(5)(a), (b) and (c) of Schedule 4 to S.I. 2017/701 and regulation 3 of S.I. 2018/786."
    },
    {
      "type": "footnote",
      "label": "f2",
      "text": "OJ No. L 173 12.06.2014, p. 84."
    },
    {
      "type": "footnote",
      "label": "f3",
      "text": "S.I. 2001/544."
    }
  ],
  "outstanding_effects": [],
  "provenance": {
    "source": "legislation.gov.uk",
    "source_url": "https://www.legislation.gov.uk/ukdsi/2018/9780111174333/regulation/9",
    "retrieved_at": "2026-10-30T15:03:27.721578+00:00"
  },
  "licence": "Open Government Licence v3.0",
  "licence_url": "https://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/",
  "attribution": "Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives."
}