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Article 325-6 into force from to

  • Version into force from to
ELI : /en/eli/fr/aai/amf/rg/article/325-6/20140924/notes

A financial investment adviser is regarded as acting honestly, fairly and professionally in accordance with the best interests of a client if, in relation to the provision of advice to such client, he pays or is paid any fee a commission, or provides or is provided with any of the following non-monetary benefits:

  1. A fee, commission or non-monetary benefit paid or provided to or by the client or a person on behalf of the client;

  2. A fee, commission or non-monetary benefit paid or provided to or by a third party or a person acting on behalf of a third party, where the following conditions are satisfied:

    1. the existence, nature and amount of the fee, commission or benefit, or, where the amount cannot be ascertained, the method of calculating that amount, must be clearly disclosed to the client, in a manner that is comprehensive, accurate and understandable, prior to the provision of the advisoory service. The financial investment adviser is permitted to discloe the essential terms of the agreements relating to the fee, commission or non-monetary benefit in summary form, provided that it undertakes to disclose further details at the request of the client and provided that it honours that undertaking;

    2. Payment of the fee or commission, or provision of the non-monetary benefit, is intended to enhance the quality of the advisory service to the client and does not impair compliance with the financial investment adviser's duty to act in the best interests of the client;

  3. Appropriate fees allowing the advisory service to be provided or necessary for said service and which, by their nature, cannot come into conflict with the obligation of the financial investment adviser to act towards his/her clients honestly, fairly and professionally in accordance with their best interests.