Schedule 4, paragraph 9(5)

In section 539 (minor definitions), in the definition of “MiFID investment firm”— for the words from “Directive” to “2004” substitute “ Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 ”; at the end of paragraph (a) insert “ and ”; and for paragraphs (b) and (c) substitute— a company which is an exempt investment firm as defined by regulation 8 (Meaning of “exempt investment firm” in Chapter 1) of the Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/XXXX);

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Source: legislation.gov.uk · retrieved 2026-09-04