Tied Agent Agreement Template

The Omnibus Directive requires ESMA to publish on its website references or hyperlinks to public registers of tied agents established by Member States that decide to allow investment firms to appoint tied agents. The list below contains hyperlinks to the websites of EU countries and their competent national authorities that provide access to national registers of tied agents. United Kingdom (Financial Services Authority – FSA) www.organismocf.it/web/area_pubblica/servizi/albostatico English link: www.afm.nl/en/professionals/registers/alle-huidige-registers.aspx?type={8F59ACF7-047B-4009-9FA7-90A264E6F3EF} Dutch link: www.afm.nl/nl/professionals/registers/alle-huidige-registers.aspx?type={8F59ACF7-047B-4009-9FA7-90A264E6F3EF} Spain (Comisión Nacional del Mercado de Valores – CNMV) Slovak link: www.nbs. sk/sk/dohlad-nad-financnym-trhom/dohlad-nad-trhom-cennych. apl.cnb.cz/apljerrsdad/JERRS. WEB15. BASIC_LISTINGS_RESPONSE_3?p_l. Investors should note that for some competent authorities, the information is only available in the local language. Romania (Romanian National Securities Commission – CNVM) www.hcmc.gr/aweb/files/antiprosopoi/files/TIED%20AGENTS%20(13-12-2017).pdf German link: www.bafin.de/DE/PublikationenDaten/Datenbanken/Vermittler/vermittler_artikel.html English link: www.bafin.de/EN/PublikationenDaten/Datenbanken/Vermittler/vermittler_node_en.html German Link: register.fma-li.li/index.php?id=140 English link: register.fma-li.li/index.php?id=140 Iceland ( Financial Supervisory Authority – Fjármálaeftirlitið) Polish link: www.knf.gov.pl/dla_rynku/PODMIOTY_rynku/Podmioty_rynku_kapitalowe.

English: www.knf.gov.pl/en/about_the_market/Capital_market/entities/Regist. Portugal (Comissão do Mercado de Valores Mobiliários – CMVM) Slovenia (Securities Market Agency – Agencija za trg vrednostnih papirjev) web3.cmvm.pt/SDI2004/IFs/app/pesquisa_nome_prosp.cfm?nome= English link: www.nbs.sk/en/financial-market-supervision/securities-market-supe. alk.mnb.hu/bal_menu/piaci_szereplok/kereso/kereses www.cnmv.es/Portal/Consultas/ESI/BusquedaAgentes.aspx www.fma.gv.at/de/unternehmen/wertpapierdienstleister/abfrage-vgv-. www.fsma.be/fr/Supervision/finbem/vt/bbd/Article/lijsten/vtbbd.aspx www.finanstilsynet.no/en/Secondary-menu/Finanstilsynet-registry/ French link: English www.cssf.lu/fr/entites-surveillees/: www.cssf.lu/en/supervised-entities/ www.cysec.gov.cy/Downloads/LicenceMembers/Public%20Registry/Tied%. registers.financialregulator.ie/DownloadsPage.aspx France (Organisation for the Single Register of Insurance, Banking and Finance Intermediaries – Orias). .