Regulations & Requirements

NCAs

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. 

EU country (National Competent Authority) National registers of tied agents
Austria (Finanzmarktaufsicht – FMA) Register
Belgium (FSMA) Register
Bulgaria (Financial Supervision Commission) Not applicable
Cyprus (Cysec) Register
Czech Republic (Czech National Bank – CNB) Register
Denmark (Finanstilsynet) Not applicable
Estonia (Estonian Financial Supervision Authority) Register
Finland (Finanssivalvonta) Not applicable
France (Organisme pour le registre unique des intermédiaires en assurance, banque et finance - Orias) Register
Germany (BaFin)
Greece (Hellenic Capital Market Commission) Register
Hungary (Hungarian National Bank Register
Iceland (Financial Supervisory Authority – Fjármálaeftirlitið) Not applicable
Ireland (Central Bank of Ireland) Register
Italy (Consob) Register
Latvia (Financial and Capital Market Commission) Not applicable
Liechtenstein Register (German and English)
Lithuania (Central Bank of Lithuania) Not applicable
Luxembourg (CSSF)
Malta (Financial Services Authority) Register
Netherlands (AFM) Register
Norway (Finanstilsynet) Register
Poland (Polish Financial Supervision Authority)
Portugal (Comissão do Mercado de Valores Mobiliários – CMVM) Register
Romania (Romanian National Securities Commission – CNVM) Register
Slovak Republic (Central Bank of Slovakia)
Slovenia (Securities Market Agency – Agencija za trg vrednostnih papirjev) Register
Spain (Comisión Nacional del Mercado de Valores - CNMV) Register
Sweden (Finansinspektionen) Register