(1) These Regulations provide for the following:
(a) authorisation and operating conditions for investment firms,
(b) provision of investment services or activities by third-country firms through the establishment of a branch,
(c) authorisation and operation of regulated markets, and
(d) [deleted]
(e) supervision, cooperation and enforcement by competent authorities.
(2) The following provisions apply to credit institutions authorised in accordance with Directive 2013/36/EU that provide one or more investment services or perform investment activities (or both):
(a) Regulations 4(2), 9(8) and (9), 17(3) and (4) and 23 to 27,
(b) Part 4 (other than Regulation 37(4)),
(c) Part 5 (other than Regulations 42(3) to (5), 43(4) to (6) and (13) and 44(1) to (4) and (7)(a)), and
(d) Regulations 91, 92(1) to (4), 119, 126 to 129, 133, 138 and 139.
(3) The following provisions apply to investment firms and credit institutions authorised under Directive 2013/36/EU that sell or advise clients in rela
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