Tied Agents are persons or companies established in a European member state, who, acting under the full and unconditional responsibility of only one Investment Firm of a member state, on whose behalf it acts, promotes investment or/and ancillary services, attracts clients or prospective clients, receives and transmits client orders in respect of investment services or financial instruments, places financial instruments or/and provides advice to clients or prospective clients in respect of those financial instruments or services.
A list of NFS tied agents can be viewed below. The tied agent shall promote the services of NFS and may provide advice in respect of financial instruments and services offered by NFS. The tied agent may then subsequently receive orders from NFS clients or potential clients and transmit them, in respect of the financial instruments and services offered by NFS.
NFS will only appoint tied Agents if they are of excellent repute and possess the general, commercial and professional financial knowledge and competence to be able to provide investment services to clients or potential clients. NFS remains responsible for the advice provided by the tied agent acting on behalf of NFS and will oversee and monitor the activities and advice provided by all its tied agents.
