ANNEX IX
Form for the communication regarding a tied agent passport notification by the competent authority ofthe home Member State to the competent authority of the host Member State
(Article 16 of Commission Implementing Regulation (EU) 2017/2382)
Reference number:
Date:
Communication in accordance with Article 35(3) or Article 35(7) of Directive 2014/65/EU (1)
FROM:
Member State:
Competent authority of the home Member State:
Address:
Designated contact point:
Telephone number:
Email:
TO:
Member State:
Competent Authority of the host Member State:
Address:
Designated contact point:
Telephone number:
Email:
In accordance with Article 34(3)/Article 35(7) of Directive 2014/65/EU, we wish to notify you that [Name of firm], an investment firm/credit institution authorised by [name of the competent authority of the home Member State], intends to use a tied agent located in [name of the host Member State] to provide the investment services or activities listed in the attached passport notification.
[Name of investment firm/credit institution] is a participant in the [name of the home Member State accredited compensation scheme], which provides cover for eligible investors as required by the [name of the home Member State] legislation in respect of investment services and activities carried on by the firm from an establishment in [name of the home Member State] and through its tied agent in the European Economic Area.
If you have any queries, please do not hesitate to contact us.
Yours sincerely,
[Signature]
(1) Please amend accordingly.