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Article 325-28 into force since

  • Version into force since
ELI : /en/eli/fr/aai/amf/rg/article/325-28/20180608/notes

For the purposes of identifying the types of conflict of interest that arise in the course of exercising one of the activities mentioned in I of Article L. 541-1 of the Monetary and Financial Code or a combination of these activities and whose existence may damage a client's interests, financial investment advisers take into account, by way of minimum criteria, the question of whether the financial investment adviser, a person employed to provide an advisory service, or a person directly or indirectly linked by way of control to the financial investment adviser, is in any of the following situations, whether as a result of providing the activities mentioned in I of Article L. 541-1 of the Monetary and Financial Code or otherwise:

  1. The financial investment adviser or that person is likely to make a financial gain, or avoid a financial loss, at the expense of the client;

  2. The financial investment adviser or that person has an interest in the outcome of a service provided to the client or of a transaction carried out on behalf of the client, which is distinct from the client's interest in that outcome;

  3. The financial investment adviser or that person has a financial or other incentive to favour the interest of another client or group of clients over the interests of the client;

  4. The financial investment adviser or that person carries on the same business as the client;

  5. The financial investment adviser or that person receives or will receive from a person other than the client an inducement in relation to a service provided to the client, in the form of monetary or non-monetary benefits or services.