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For the purposes of these guidelines only, the indicative definitions set out in the table be-low, which do not override equivalent definitions in national law, have been developed. firm(s)11 A1 The following financial market participants if they are carrying out (i) investment services listed in Section A of Annex I of MiFID and ancillary services listed in Section B thereof, or (ii) a banking service listed in Annex I to CRD, or (iii) the service of collective portfolio management of UCITS, or (iv) a payment service as defined in Article 4(3) of the PSD, or (v) issuing electronic money as defined in Article 2(2) of the EMD, or (iv) a payment service as defined in Article 4(3) of the PSD, or (v) issuing electronic money as defined in Article 2(2) of the EMD, or (vi) provision of credit agreement as defined in Article 4(3) of the MCD or credit intermediation activities as defined in Article 4(5) of the MCD or (viii) credit servicing activities as defined in Article 3(9) of CSD: | • | investment firms (as defined in Article 4(1)(1) of the MiFID); | | • | management companies (as defined in Article 2(1)(b) of the UCITS Di-rective) and investment companies that have not designated a manage-ment company (as referred to in Article 30 of the UCITS Directive); | | • | external AIFMs (as defined in Article 5(1)(a) of the AIFMD) when provid-ing services pursuant to Article 6(4) of the AIFMD; | | • | credit institutions (as defined in Article 4(1) of the CRR); | | • | payment institutions and electronic money institutions (as defined in Ar-ticle 4(4) of the PSD, and Article 2(1) of the EMD respectively). | | • | account information service providers as referred to in Article 33 (1) of PSD providing only the payment service as referred to in point (8) of An-nex I of the PSD; | | • | credit intermediaries and non-credit institution creditors (as defined in Article 4(5) and (10) of the MCD respectively), and | | • | credit servicers (as defined in Article 3 (8) of the CSD). |
complaint O A statement of dissatisfaction addressed to a firm by a natural or legal person relating to the provision of (i) an investment service provided under MiFID, the UCITS Directive or the AIFMD; or (ii) a banking service listed in Annex I to the CRD; or (iii) a service of collective portfolio management under the UCITS Directive; - A1 or (iv) a payment service as defined in Article 4(3) of the PSD, or (v) issuing electronic money as defined in Article 2(2) of the EMD; or (vi) credit agreement as defined in Article 4(3) of the MCD; or (vii) credit intermediation activities as defined in Article 4(5) of the MCD or (viii) credit servicing activities as defined in Article 3(9) of CSD. complainant O
A natural or legal person who is presumed to be eligible to have a complaint considered by a firm and who has already lodged a complaint.
11 Should additional EU Directives come into force that will bring new financial activities and/or financial institutions into the scope of action of an ESA, said ESA will consult on any extension of the applicability of the Guidelines to these firms and activities.
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