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Book III - Service providers
Title II - Other service providers
Chapter I - Custody account-keepers
Section unique - Provisions relating to custody account-keeping - terms of reference for the custody account-keeper
Sub-section 2 - Professional obligations of the keepers of securities accounts other than the issuing entities
Paragraph 2 - Relationships with customers
Sub-paragraph 3 - General provisions relating to the information provided to clients
Article 322-12 from 03/01/2018 to 07/05/2023

Article 322-12 into force from to

  • Version into force from to
ELI : /en/eli/fr/aai/amf/rg/article/322-12/20180103/notes

I. - The custody account-keeper shall send, on a durable medium, at least once quarterly to its client, and on each request by this latter, a statement of his/her financial securities. The statement shall include the information mentioned in Paragraph 2 of Article 63 of Commission Delegated Regulation (EU) 2017/565 of 25 April 2016.

II. - The custody account-keeper shall send, as quickly as possible, to each holder of a securities account the following information:

  1. Information relating to operations in financial securities which require a response from the account holder, which it receives individually from the issuers of financial securities;

  2. Information relating to the other operations in financial securities which give rise to a modification to the assets recorded on the client's account, which it receives individually from the issuers of financial securities;

  3. Subject to them having been identified as such by the collective investment scheme or the asset management company which, where applicable, represents it, and in accordance with the conditions set out in 6° of Article 411-70, the specific information which must, in application of the provisions of Article 411-15, be sent individually to the holders of the collective investment scheme, which it receives from the said collective investment scheme or from its asset management company.

III. - The custody account-keeper shall be obliged, as quickly as possible, to inform each holder of a securities account:

  1. Of the information necessary for the preparation of his/her tax return;

  2. Of all the movements relating to the financial securities and cash recorded in his/her name.

However, where the holder of the securities account subscribes to a pensions saving plan scheme which contractually includes repetitive and systematic operations, the custody account-keeper may inform the holder of the execution of these operations only twice a year.