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Book III - Service providers
Title II - Other service providers
Chapter V bis - Crowdfunding investment advisers
Section 4 - Handling and monitoring of subscription applications and book entry
Article 325-50-1 from 21/10/2016 to 07/06/2018

Article 325-50-1 into force from to

  • Version into force from to
ELI : /en/eli/fr/aai/amf/rg/article/325-50-1/20161021/notes

The crowdfunding investment adviser may provide a subscription application handling and monitoring service that includes the registration of financial securities in a securities account in accordance with I of Article L. 547-1 of the Monetary and Financial Code.

This service shall be formalised in an agreement between the crowdfunding investment adviser and the mandating issuer that includes the obligations of the crowdfunding investment adviser and the charged fees. For this purpose, it shall collect the personal data of subscribers for registration in the issuers' records of the latter.

The crowdfunding investment adviser shall implement a procedure setting out :

  1. The terms for handling and monitoring subscription applications, notably in the event of oversubscription. This procedure shall provide for time stamping of subscription applications on receipt;

  2. The procedure for registering financial securities in a securities account.

The crowdfunding investment adviser shall act with diligence and professionalism when processing subscription applications and entering financial securities in securities accounts.

The crowdfunding investment adviser shall retain records of services provided in a durable medium.

If the offer is cancelled, it shall inform the client without delay.