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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 4 - Professional obligations of the issuer entities considered in their capacity as custody account-keepers and provisions relating to the administration of registered financial securities
Paragraph 2 - Stipulations of the terms of reference of the custody account-keeper applicable to legal entities issuing financial securities via public offerings, with the exception of those mentioned in 1 or 2 of Article L. 411-2 of the Monetary and Financial Code or in Article L. 411-2-1 of said code, which (i) record issued financial securities in "pure registered" accounts, or (ii) record issued financial securities in a distributed ledger system
Article 322-72 from 19/04/2013

Article 322-72 into force since

  • Version into force since
ELI : /en/eli/fr/aai/amf/rg/article/322-72/20130419/notes

The issuing entity will charge an employee, appointed by name, to ensure compliance with the rules applicable to the activity of custody account-keeping and, where applicable, the service of receipt and transmission of orders. This audit manager shall carry out the function set out in Articles 322-39 to 322-45.

The audit manager will have the appropriate autonomy of decision-making, as well as the human and technical resources necessary for the accomplishment of his/her assignment and which shall be adapted to the nature and volume of the activities carried out.

Each year, he/she will prepare a report including a description of the audit organisation, a listing of the tasks completed in the exercise of his/her assignment, the recommendations which he/she has been led to make and the measures adopted as a result of his/her remarks. This report shall be forwarded to the management of the custody account-keeping function of the issuer entity and to the executive body of the said entity.