EU Tied Agent

ACA Mirabella’s fully-supported Tied Agent solution provides UK clients access to their existing and prospective new European Union (EU) clients and investors through our locally-regulated, and well-resourced Maltese company.

Designed and locally approved to permit our clients to undertake investor relations, capital-raising, third-party marketing, and distribution across Europe, our EU Tied Agent Managed Service is compliant with EU regulation, as well as being cost-effective, simple and quick to deploy.

This dynamic offering caters for cross-border fund distribution without the need to obtain a license in every European Economic Area (EEA) jurisdiction. It also helps ensure MiFID II compliance and strict adherence to European Securities and Markets Authority (ESMA) guidelines on Tied Agents. Our highly experienced EU-based staff will work with you throughout your on-boarding and application, and as an option, we provide infrastructure and ongoing back-office support.

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The Structure of our EU Tied Agent Solution

Mirabella Malta Advisers Limited

Mirabella Malta Advisers Limited (MMAL) is a locally-authorised Maltese Class 3 license firm, holding the following Markets in Financial Instruments Directive (MiFID) permissions: Placing of financial instruments without a firm commitment basis (Placing); the receipt and transmission of orders (RTO); and investment advice (Advising).

MMAL is not authorised to hold or control clients’ money or assets. MMAL acting as the Principal Firm allows firms registered and incorporated in Malta the opportunity to become its Tied Agent.

A Tied Agent can undertake the same licensed activities (Placing, RTO and Advising) as MMAL as its Principal Firm. The Principal Firm assumes ultimate regulatory responsibility for the activities undertaken by the Tied Agent.

Tied Agent Activities

The Tied Agent (via the directors/other employees) will undertake the following activities:

  • client relationship management;
  • scheduling of meetings and calls with clients or prospective clients;
  • meetings with clients or prospective clients;
  • provision of investment services (Placing, RTO and Advising);
  • provision of information to clients or prospective clients; and
  • ancillary activity linked with the performance of the regulated activities listed above

Managed Services

As part of the EU Tied Agent Managed Service, Mirabella Malta Advisers Limited can also provide ongoing assistance with:

  • the onboarding and regulatory application process;
  • office space;
  • human resources; and
  • IT support.

Our EU Tied Agent Managed Service is designed in accordance with ESMA’s Supervisory Briefing (ESMA35-43-2900) on supervisory expectations in relation to firms using tied agents in the MiFID II framework and extensive consultation with local regulators.

Why ACA Mirabella?

ACA Mirabella offers multi-award-winning regulatory hosting services, with 50+ professionals, operating out of the U.K. and Malta. As the market leader in our sector, we provide regulatory hosting for discretionary fund and managed account managers, investment advisers/arrangers, placement agents and local marketing offices in the UK, hosting over $25bn+ AuM on our discretionary investment management platform and over 70 Appointed Representatives and Tied Agent clients.

Our Tied Agent Solution has been designed specifically to help firms establish, maintain, and grow their presence in Europe. ACA Mirabella is part of an international team of 1,250+ within ACA Group, which includes a large number of former regulators and industry compliance practitioners, supporting more than 6,300 clients, globally.

Through ACA Group, our clients have access to an unrivalled team of governance, risk, and compliance experts, offering regulatory, cyber, ESG, and performance advisory support, alongside dedicated managed services, and cutting-edge Regulatory Technology. ACA Mirabella and ACA Group take care of these important governance and regulatory controls, allowing you the freedom and capacity to focus on client service and revenue generation.