tied agent means 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;
tied agent means tied agent as defined in Article 4(1)(29) of Directive 2014/65/EU;
tied agent means a person appointed under Regulation 37 as a tied agent by an investment firm. An investment firm may appoint persons as tied agents for the purpose of -
More Definitions of tied agent
tied agent means any natural or legal person that facilitates—under the all-inclusive and unconditional responsibility of the investment firm represented by the agent—the provision of investment services and ancillary services for the client or prospective client
tied agent means a natural or legal person which acts on behalf of a payment institution in carrying out payment services;
tied agent means a natural or legal person who, under the full and unconditional responsibility of only one credit institution or investment firm on whose behalf it acts,
tied agent means a natural or legal person, who, under the full and unconditional responsibility of only one investment firm on whose behalf it acts—
tied agent means 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;
tied agent means tied agent as defined in Article 4(1)(29) of Directive
tied agent means a natural or legal person who, under the full and unconditional responsibility of only one investment firm on whose behalf he/she/it acts, carries on the activities laid down in this Act as the activities of tied agents.