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Co agentAn institution appointed by the issuer as co-transfer agent accepts and transfers certificates and sends daily activity journals to the primary record-keeping agent. A co-agent does not maintain security holder records, but is used to facilitate the transfer of stock in a geographic region not easily accessible to the issuer or its principal transfer agent.Co agent Similar MatchesCompany representative (tied agent)Company representative (tied agent)A financial services sales rep, authorised to give financial advice on life assurance, pensions and unit trusts, but only allowed to recommend products from his/her employer. Unlike, IFAs, therefore, tied agents cannot be assumed to give impartial advice.Under the Financial Services Act 1986 all financial advisers must tell prospective clients whether they are tied agents or independent, so that the client knows what kind of advice he is getting.Tied agents are regulated by the Financial Services Authority (FSA). Uniform securities agent state law examinationUniform securities agent state law examinationA test required in some states for registered representatives who are employees of member firms of the NASD or NASD NASD. Estate agentEstate agentAn agent who acts in the arrangements of property sales and purchases in return for a commission based on the selling price. Tied agentTied agentSee 'company representative'. Transfer agentTransfer agentIndividual or institution a company appoints to look after the transfer of securities. Further SuggestionsInformation AgentAgent Dividend Disbursing Agent Insurance agent Principal agent relationship agent Tied agents Paying agent |
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