lezen - FinPlan vzw

firm shall ensure that tied agents meet the standards that would be required of an
investment firm directly soliciting business or collecting orders as laid down
under the preceding provision (2.3.1);
- ensure that tied agents disclose immediately to any client or prospective client the
capacity in which they are acting and the firm which they are representing. The
content of any marketing communication and manner in which such information
is presented shall meet the standards that would be required of an investment firm
directly soliciting business or collecting orders as laid down under the preceding
provision (2.3.1);
- prevent tied agents from handling money owed by the client to the investment firm
or vice versa;
- monitor its tied agents’ activities and adopt control measures and procedures so
as to ensure that they fulfill, on a continuous basis, the above-mentioned
requirements and that they operate in compliance with the provisions of this
Directive.
Competent authorities shall establish and maintain, under their direct or indirect
(e.g. through the offices of an independent professional body) responsibility, a
register of tied agents. This register shall be updated on a regular basis. Admission
to this register shall be a condition for employment as a tied agent in that Member
State. Admission to the register shall take place on the basis of transparent and
nondiscriminatory criteria (including fitness and propriety requirements). To the
fullest extent possible, account shall be taken of any existing or current
authorization to act as tied agent in another Member State.
Member States shall ensure that when investment firms employ tied agents located
in another Member States, these agents are filed with the register of the State where
they are located and comply with the detailed rules implementing this provision
when providing services to clients in their territory.”
Voor de voorwaarden waaraan verbonden agenten zouden moeten voldoen, verwijst
de Commissie naar de richtlijn betreffende verzekeringsbemiddeling 23 .
De “gevolmachtigde agenten” op wie kredietinstellingen (voor de activiteit
“beleggingsdiensten”) en beleggingsondernemingen in ons land een beroep doen,
kunnen zeker tot de verbonden agenten worden gerekend waarvan sprake in de
geactualiseerde oriëntaties van de Commissie.
De oriëntaties waaraan uitgebreid aandacht wordt besteed in het laatste deel van
deze studie, sluiten aan bij de meeste oriëntaties die door de Europese Commissie
worden vooropgesteld.
23 Zie toelichting hieronder (I.A.2.c)).
17