SCHEDULE 5OTHER AMENDMENTS OF THE ACT

Amendment of section 424A21

In section 424A25 (investment firm), for subsection (3) substitute—

3

References in this Act to an “investment firm” include references to a person who would be an investment firm (within the meaning of Article 4.1.1 of the markets in financial instruments directive) if—

a

in the case of a body corporate, his registered office or, if he has no registered office, his head office, and

b

in the case of a person other than a body corporate, his head office,

were in an EEA State.