tied agent
as defined in Regulation (EU) 2019/2033 of the European Parliament and of the Council of…, Article 4(1), point (52) (Definitions)
a tied agent as defined in point (29) of Article 4(1) of Directive 2014/65/EU
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Also defined in
- Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments… 32014L0065, Article 4(1), point (29)
a natural or legal person who, under the full and unconditional responsibility of only one investment firm on whose behalf it acts, promotes investment and/or ancillary services to clients or prospective clients, receives and transmits instructions or orders from the client in respect of investment… - Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments… 32004L0039, Article 4(1), point (25)
a natural or legal person who, under the full and unconditional responsibility of only one investment firm on whose behalf it acts, promotes investment and/or ancillary services to clients or prospective clients, receives and transmits instructions or orders from the client in respect of investment…