tied agent

Defined in Article 4, Directive 2014/65/EU (MIFID II)

Uses as of 01/07/2016

Definitions over time (1)

1. 01/07/2016 – 31/12/2019 applies on 01/07/2016 Article 4, Directive 2014/65/EU (MIFID II) Scope: Whole act

   For the purposes of this Directive, the following definitions apply:

   ‘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;

Used in (50 places in 11 provisions on 01/07/2016)

Directive 2014/65/EU (MIFID II) (50 in 11)

Recital 58 · Recital 99 · Recital 100 · Recital 102 · Article 3 · Article 4 · Article 16 · Article 23 · Article 29²⁰ · Article 34⁹ · Article 35¹³