Status: You are viewing the version of the handbook as on 2019-12-09.

tied agent

    25a person who, under the full and unconditional responsibility of only one MiFID investment firm or third country investment firm 29on whose behalf it acts, promotes investment services 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 advice29 to clients or prospective clients in respect of those financial instruments or investment services.

    [Note: article 4(1)(29)79 of MiFID]