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Book III - Service providers
Title II - Other service providers
Chapter V - Financial investment advisers
Section 6 - Authorisation of representative associations
Sub-section 1 - Authorisation requirements
Article 325-37 from 08/06/2018 to 07/02/2020

Article 325-37 into force from to

  • Version into force from to
ELI : /en/eli/fr/aai/amf/rg/article/325-37/20180608/notes

The association shall have the staff and technical resources needed to carry out its mission on an ongoing basis.

Its technical resources shall include, inter alia:

  1. A computerised tool to establish a list indicating, where applicable, for each member:

    a) Where the financial investment advice business is operated by a natural person:

    • The surname, forenames, date of birth, place of birth and business address of the natural person who is a financial investment adviser; and

    • The surname, forenames, date and place of birth of the natural persons employed by the financial investment adviser to operate the financial investment advice business; or

    b) Where the financial investment advice business is operated by a legal entity:

    • The business name and address of this legal entity;

    • The surname, forenames, date and place of birth and personal address of the natural persons who have the power to manage or administer this legal entity; and

    • The surname, forenames, date and place of birth of the natural persons employed by the financial investment adviser to operate the financial investment advice business.

    This list shall be held at the disposal of the AMF.

  2. A data storage facility for the retention of documents, in particular control reports, for five years.