(a)

when investment advice is provided, the investment firm must, in good time before it provides investment advice, inform the client: whether or not the advice is provided on an independent basis; whether the advice is based on a broad or on a more restricted analysis of different types of financial instruments and, in particular, whether the range is limited to financial instruments issued or provided by entities having close links with the investment firm or any other legal or economic relationships, such as contractual relationships, so close as to pose a risk of impairing the independent basis of the advice provided; whether the investment firm will provide the client with a periodic assessment of the suitability of the financial instruments recommended to that client;

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Source: EUR-Lex (Cellar) · retrieved 2026-09-25 · Text as adopted (Official Journal); later amendments are not incorporated in this text.