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Book III - Service providers
Title II - Other service providers
Chapter V - Financial investment advisers
Section 3 - Organisational rules
Article 325-12-1 from 01/09/2012 to 07/06/2018

Article 325-12-1 into force from to

  • Version into force from to
ELI : /en/eli/fr/aai/amf/rg/article/325-12-1/20120901/notes

Financial investment advisers shall establish and maintain operational an effective and transparent procedure for reasonable and prompt handling of complaints received from clients or potential clients.

Clients can file complaints free of charge with the financial investment adviser.

Financial investment advisers shall respond to the complaint from the client within a maximum of two months from the date of receipt of the complaint, except in duly justified exceptional circumstances.

They shall implement an equal and consistent procedure for handling complaints from clients.

Financial investment advisers shall record each complaint and the measures taken to handle it. They shall also implement a complaint monitoring system enabling them to identify problems and implement the appropriate corrective measures.

Information on the complaint handling procedure shall be made available to clients free of charge.

The procedure put in place shall be proportionate to the size and structure of the financial investment adviser. An AMF instruction shall set out the procedures for applying this article.