tied agent
as defined in Directive 2014/65/EU of the European Parliament and of the Council of 15 May…, Article 4(1), point (29) (Definitions)
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 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 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…