1.

Member States shall require investment firms to provide retail clients or potential retail clients with the following general information, where relevant: the name and address of the investment firm, and the contact details necessary to enable clients to communicate effectively with the firm; the languages in which the client may communicate with the investment firm, and receive documents and other information from the firm; the methods of communication to be used between the investment firm and the client including, where relevant, those for the sending and reception of orders; a statement of the fact that the investment firm is authorised and the name and contact address of the competent authority that has authorised it; where the investment firm is acting through a tied agent, a statement of this fact specifying the Member State in which that agent is registered; the nature, frequency and timing of the reports on the performance of the service to be provided by the investment firm to the client in accordance with Article 19(8) of Directive 2004/39/EC; if the investment firm holds client financial instruments or client funds, a summary description of the steps which it takes to ensure their protection, including summary details of any relevant investor compensation or deposit guarantee scheme which applies to the firm by virtue of its activities in a Member State; a description, which may be provided in summary form, of the conflicts of interest policy maintained by the firm in accordance with Article 22; at any time that the client requests it, further details of that conflicts of interest policy in a durable medium or by means of a website (where that does not constitute a durable medium) provided that the conditions specified in Article 3(2) are satisfied.

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Source: EUR-Lex (Cellar) · retrieved 2026-10-29 · Text as adopted (Official Journal); later amendments are not incorporated in this text.