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The ESMA provides its expectations in relation to firms using tied agents and focuses notably on staffing requirements

10/02/2022

On 2 February 2022, the ESMA released a Supervisory Briefing on supervisory expectations in relation to credit institutions and investment firms (the “Firms”) using tied agents in the MiFID framework (the “Briefing”). The Briefing aims at providing a common...

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Authors

Portrait ofAurélia Viémont
Aurélia Viémont
Partner | Avocat à la Cour
Luxembourg
Portrait ofSarah Hantscher
Sarah Hantscher
Senior Associate | Avocat à la Cour
Luxembourg
Portrait ofMélanie Poirrier
Mélanie Poirrier
Senior Associate | Avocat à la Cour
Luxembourg
Portrait ofAnne Picot-Guillot
Anne Picot-Guillot
Senior Knowledge Officer
Luxembourg
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