Amendment of the principal Regulations5

In regulation 3—

a

in paragraph (2)—

i

for “In” substitute “Subject to paragraph (2ZA), in”;

ii

at the end of sub-paragraph (a) omit “and”;

iii

after sub-paragraph (b) insert—

; and

c

a statement of whether the firm intends to use a tied agent to provide services in the United Kingdom

b

after paragraph (2) insert—

2ZA

In the case of an investment firm exercising the right under Article 31.5 of the markets in financial instruments directive, the prescribed information is—

a

a statement that the firm is an investment firm; and

b

a statement that the firm intends to exercise that right in the United Kingdom.