investment firm

Defined in Article 4, Capital Requirements Regulation (CRR)

Uses as of 15/05/2015

Definitions over time (3)

1. 29/06/2021 – today Article 4, Capital Requirements Regulation (CRR) Scope: Whole act

   For the purposes of this Regulation, the following definitions shall apply:

   ‘investment firm’ means an investment firm as defined in point (1) of Article 4(1) of Directive 2014/65/EU which is authorised under that Directive but excludes credit institutions;

2. 25/12/2019 – 29/06/2021 Article 4, Capital Requirements Regulation (CRR) Scope: Whole act

   For the purposes of this Regulation, the following definitions shall apply:

   ‘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: credit institutions; local firms; firms which are not authorised to provide the ancillary service referred to in point (1) of Section B of Annex I to Directive 2004/39/EC, which provide only one or more of the investment services and activities listed in points 1, 2, 4 and 5 of Section A of Annex I to that Directive, and which are not permitted to hold money or securities belonging to their clients and which for that reason may not at any time place themselves in debt with those clients;

3. 28/06/2013 – 19/07/2016 applies on 15/05/2015 Article 4, Capital Requirements Regulation (CRR) Scope: Whole act

   For the purposes of this Regulation, the following definitions shall apply:

   ‘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: credit institutions; local firms; firms which are not authorised to provide the ancillary service referred to in point (1) of Section B of Annex I to Directive 2004/39/EC, which provide only one or more of the investment services and activities listed in points 1, 2, 4 and 5 of Section A of Annex I to that Directive, and which are not permitted to hold money or securities belonging to their clients and which for that reason may not at any time place themselves in debt with those clients;

Used in (84 places in 32 provisions on 15/05/2015)

Capital Requirements Regulation (CRR) (84 in 32)

Recital 2 · Recital 4³ · Recital 5 · Recital 80² · Recital 125² · Preamble · Article 4⁵ · Article 6⁴ · Article 11⁴ · Article 12 · Article 15¹¹ · Article 16³ · Article 17³ · Article 23 · Article 93² · Article 95³ · Article 96⁵ · Article 97⁵ · Article 98⁷ · Article 107 · Article 325 · Article 388² · Article 395 · Article 405² · Article 411 · Article 416 · Article 424 · Article 456 · Article 493³ · Article 498³ · Article 508² · Article 520