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Article 325-3 into force from to

  • Version into force from to
ELI : /en/eli/fr/aai/amf/rg/article/325-3/20130618/notes

When establishing a relationship with a new client, the financial investment adviser shall give the client a document including the following references:

  1. his/her name or company name, his/her business address or that of his/her registered office, his/her status as a financial investment adviser and his/her registration number in the register mentioned in I of Article L. 546-1 of the Monetary and Financial Code;

  2. the name of the professional association to which he belongs;

  3. where applicable, his/her capacity as a direct marketer and the identities of the principals for which he/she carries on a direct marketing business;

  4. where applicable, the name(s) of any institution(s) promoting products mentioned in point 1° of Article L. 341-3 of the Monetary and Financial Code in which he has a material ownership or commercial interest;

  5. where applicable, any other regulated status that he holds.