tied agent
as defined in Directive 2004/39/EC of the European Parliament and of the Council of 21 April…, 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 services or financial instruments, places financial instruments and/or provides advice to clients or prospective clients in respect of those financial instruments or services;
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Also defined in
- Regulation (EU) 2019/2033 of the European Parliament and of the Council of 27 November 2019 on the prudential… 32019R2033, Article 4(1), point (52)
a tied agent as defined in point (29) of Article 4(1) of Directive 2014/65/EU - 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…