EU · MiFID II · TITLE II AUTHORISATION AND OPERATING CONDITIONS FOR INVESTMENT FIRMS · CHAPTER II Operating conditions for investment firms · Section 2 Provisions to ensure investor protection
Article 29 MiFID IIObligations of investment firms when appointing tied agents
Allows investment firms to appoint tied agents to promote services, receive and transmit orders, place instruments and advise, while remaining fully and unconditionally responsible for them; tied agents must disclose whom they represent, be registered in a public register after checks on repute and competence, and be monitored by the firm. Member States may let tied agents hold client assets and may set stricter rules.
Commentary
No law-firm commentary is linked to this provision yet.
393 more documents relate to MiFID II as a whole without naming an article.
UK counterpart
- SUP 12.4.4HR · Appointment of tied agents, MiFID optional exemption appointed representatives and structured deposit appointed representativesDivergedExplicit reference · 90%
UK changes after exit to SUP 12.4.4HR: FCA 2022/32 (from 8 Dec 2022).
- SUP 12.4.11R · Appointment of an FCA registered tied agentDivergedExplicit reference · 90%
UK changes after exit to SUP 12.4.11R: FCA 2022/32 (from 8 Dec 2022).
- SUP 12.5.6AR · Prohibition of multiple principals for certain activitiesEquivalentExplicit reference · 90%
No change on either side since exit (31 Dec 2020). SUP 12.5.6AR transposes the article, so the wording differs.
- SUP 12.5.8R · Required contract terms for FCA registered tied agentsEquivalentExplicit reference · 90%
No change on either side since exit (31 Dec 2020). SUP 12.5.8R transposes the article, so the wording differs.
- SUP 12.6.1AR · Monitoring: tied agents; appointed representatives carrying on MCD credit intermediation activityEquivalentExplicit reference · 90%
No change on either side since exit (31 Dec 2020). SUP 12.6.1AR transposes the article, so the wording differs.
- SUP 12.6.13R · Continuing obligations of firms with tied agentsEquivalentExplicit reference · 90%
No change on either side since exit (31 Dec 2020). SUP 12.6.13R transposes the article, so the wording differs.
- SUP 12.6.14R · Continuing obligations of firms with tied agentsEquivalentExplicit reference · 90%
No change on either side since exit (31 Dec 2020). SUP 12.6.14R transposes the article, so the wording differs.
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Version history
- From 17 Sept 2014
Each entry is a consolidated version of the act on EUR-Lex in which this provision appears. The text itself is on the official site.