Joining substnz as a tied agent is a structured process. We handle the regulatory complexity so you can focus on what matters: your investors and your mandates.
Becoming a tied agent at substnz Capital Partners takes 8–12 weeks. The process: introductory call, proposal with transparent terms, regulatory due diligence (fit-and-proper assessment), compliance setup (AML/KYC, platform access), BaFin registration in the public tied agent register, then launch with ongoing compliance support. No own license required.
Whether you are an experienced placement agent looking for a new regulatory home or an asset manager seeking European distribution, the onboarding process follows the same proven path. Each step is designed to be efficient and transparent.
From the initial conversation to your BaFin registration and first mandate, we guide you through every stage. Most tied agents are fully operational within 8 to 12 weeks.
We start with a conversation to understand your background, experience, target markets, and mandate pipeline. This helps us assess whether the tied agent model is the right fit for your practice. No commitment required.
Based on our discussion, we provide a clear proposal outlining the commercial terms, scope of services, and fee structure. Our pricing is transparent with no hidden costs.
We conduct the required regulatory due diligence: fit-and-proper assessment, background checks, and review of your professional qualifications. This is a regulatory requirement for all tied agents.
We set up your compliance framework: AML/KYC processes, internal procedures, reporting structures, and access to our technology platform. Everything you need to operate within the regulatory framework.
substnz registers you as a tied agent with BaFin. Your entry appears in the public register, giving you official regulatory status. This step confirms your legitimacy to investors and partners.
You are fully operational. Begin working with your investors and mandates. We provide ongoing compliance support, regulatory updates, platform access, and a direct line to our team whenever you need it.
From first conversation to BaFin registration, the typical timeline is 8 to 12 weeks. The exact duration depends on how quickly due diligence materials are provided and the current processing times at BaFin. If you are based outside of Germany, the process will take 6 - 8 weeks longer.
We discuss all costs transparently during the proposal stage. Our fee model is designed to be straightforward.
Typical documents include proof of identity, professional qualifications, CV, proof of relevant experience, and references. We provide a complete checklist during the due diligence phase.
No. Regulatory activities can only begin after the formal BaFin registration is completed. However, you can prepare your pipeline and investor materials during the onboarding period.
You have full access to our platform, compliance infrastructure, and support team. We conduct regular compliance reviews and provide updates on regulatory changes that affect your practice.
Book an introductory call to discuss your background and explore whether the tied agent model is right for you.