Tied Agents

The Omnibus Directive requires ESMA to publish on its website references or hyperlinks to the public registers of tied agents established by the Member States which decide to allow investment firms to appoint tied agents.

The list below contains the hyperlinks to the webpages of the EU countries and their national competent authorities giving access to the national registers of tied agents.

Investors should note that for some competent authorities the information is only available in the national language.  

Austria (Finanzmarktaufsicht – FMA)

http://www.fma.gv.at/de/unternehmen/wertpapierdienstleister/abfrage-vgv-...

Belgium (FSMA)

http://www.fsma.be/fr/Supervision/finbem/vt/bbd/Article/lijsten/vtbbd.aspx

Bulgaria (Financial Supervision Commission)

Not applicable

Cyprus (Cysec)

http://www.cysec.gov.cy/Downloads/LicenceMembers/Public%20Registry/Tied%...

Czech Republic (Czech National Bank – CNB)

https://apl.cnb.cz/apljerrsdad/JERRS.WEB15.BASIC_LISTINGS_RESPONSE_3?p_l...

Denmark (Finanstilsynet)

Not applicable

Estonia (Estonian Financial Supervision Authority)

http://www.fi.ee/index.php?id=2855

Finland (Finanssivalvonta)

Not applicable

France (Autorité de contrôle prudentiel)

https://www.regafi.fr/spip.php?page=advancedsearch&id_secteur=3

Germany (BaFin)

http://ww2.bafin.de/database/VGVInfo/ 

Greece (Hellenic Capital Market Commission)

http://www.hcmc.gr/photos/antiprosopoi/files/Antipr.pdf

Hungary (Hungarian Financial Supervisory Commission)

http://www.pszaf.hu/bal_menu/piaci_szereplok/nyilvantartasok

Iceland (Financial Supervisory Authority – Fjármálaeftirlitið)

Not applicable

Ireland (Central Bank of Ireland)

http://registers.financialregulator.ie/DownloadsPage.aspx

Italy (Consob)

http://www.albopf.it/web/area_pubblica/servizi/albostatico

Latvia (Financial and Capital Market Commission)

Not applicable

Liechtenstein

German link: http://register.fma-li.li/index.php?id=140
English link: http://register.fma-li.li/index.php?id=140

Lithuania (Central Bank of Lithuania)

Not applicable

Luxembourg (CSSF)

French link: http://www.cssf.lu/fr/entites-surveillees/
English link: http://www.cssf.lu/en/supervised-entities/

Malta (Financial Services Authority)

http://www.mfsa.com.mt/pages/licenceholders.aspx

Netherlands (AFM)

English link: http://www.afm.nl/en/professionals/registers/alle-huidige-registers.aspx?type={8F59ACF7-047B-4009-9FA7-90A264E6F3EF}
Dutch link: http://www.afm.nl/nl/professionals/registers/alle-huidige-registers.aspx?type={8F59ACF7-047B-4009-9FA7-90A264E6F3EF}

Norway (Finanstilsynet)

http://www.finanstilsynet.no/en/Secondary-menu/Finanstilsynet-registry/

Poland (Polish Financial Supervision Authority)

Polish link: http://www.knf.gov.pl/dla_rynku/PODMIOTY_rynku/Podmioty_rynku_kapitalowe...
English: http://www.knf.gov.pl/en/about_the_market/Capital_market/entities/Regist...

Portugal (Comissão do Mercado de Valores Mobiliários – CMVM)

http://web3.cmvm.pt/SDI2004/IFs/app/pesquisa_nome_prosp.cfm?nome=

Romania (Romanian National Securities Commission – CNVM)

http://www.cnvmr.ro/RCNVM/lista.php?sect=202

Slovak Republic (Central Bank of Slovakia)

Slovak link: http://www.nbs.sk/sk/dohlad-nad-financnym-trhom/dohlad-nad-trhom-cennych...

English link: http://www.nbs.sk/en/financial-market-supervision/securities-market-supe...

Slovenia (Securities Market Agency – Agencija za trg vrednostnih papirjev)

http://www.a-tvp.si/Eng/Default.aspx?id=138

Spain (Comisión Nacional del Mercado de Valores - CNMV)

http://www.cnmv.es/Portal/Consultas/ESI/BusquedaAgentes.aspx

Sweden (Finansinspektionen)

https://snr4.bolagsverket.se/snrgate/startIn.do

United Kingdom (Financial Services Authority – FSA)

http://www.fsa.gov.uk/register/indivSearchForm.do