Amendment of the principal Regulations3

In regulation 1(2), at the end, insert—

  • ;

  • “tied agent” has the meaning given in Article 4.1.25 of the markets in financial instruments directive;

  • “UK investment firm” means a UK firm—

    1. a

      which is an investment firm,

    2. b

      whose EEA right derives from the markets in financial instruments directive