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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

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    2016-07-17

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)(25) of MiFID]