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The Investment Services Regulations 1995

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European investment firms

3.—(1) An investment firm is a European investment firm for the purposes of these regulations if—

(a)it is incorporated in or formed under the law of another EEA State;

(b)its head office is in that State;

(c)it is for the time being, either a European authorised institution or authorised to act as an investment firm by a relevant supervisory authority in that State; and

(d)in the case of an investment firm which is not a European authorised institution and was not on the commencement date a European subsidiary, the requirements of paragraph 1 of Schedule 3 to these Regulations have been complied with in relation to its provision of a service or its establishment of a branch.

(2) In these Regulations “quasi-European investment firm” means an investment firm other than a European authorised institution—

(a)which is not a European investment firm; but

(b)which would be such an investment firm if the requirements of paragraph 1 of Schedule 3 to these Regulations had been complied with in relation to its provision of a service or its establishment of a branch.

(3) Schedule 3 to these Regulations (which contains requirements to be complied with by or in relation to European investment firms) shall have effect.

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