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Book III - Service providers
Title II - Other service providers
Chapter V - Financial investment advisers
Section 3 - Organisational rules
Sub-section 1 - General provisions
Article 325-18 from 08/06/2018

Article 325-18 into force since

  • Version into force since
ELI : /en/eli/fr/aai/amf/rg/article/325-18/20180608/notes

I. - Financial investment advisers must at all times have resources and procedures appropriate to the conduct of their business, in particular:

  1. Sufficient technical resources;

  2. Secure data storage facilities enabling in particular retention for the entire duration of the client relationship of any document or medium provided to the client as part of the provision of advisory services.

II. - Financial investment advisers shall have adequate organisational arrangements in place to ensure that both types of investment advisory services – independent and non-independent – are clearly separated from each other, that clients are not likely to be confused about the type of advice that they are receiving and that clients are given the type of advice that is appropriate for them. Financial investment advisers shall not allow a natural person in their employ to provide both independent and non-independent advice.