French Insurance Code
In forceThe file referred to in article R. 512-4 includes :
1° Where the applicant is a natural person, the applicant's identity, the address of the establishment where the professional activity is carried out, or failing that, the address of the residential premises where the business is based and, where applicable, the applicant's sign and business name. If the applicant is not registered in the Trade and Companies Register, his identity must be certified by a copy of his identity card or passport;
2° Where the applicant is a legal entity:
a) The identity of the persons who direct and manage it and, where the activity for which registration is sought is carried on as an ancillary activity to their main activity, the identity of the person or persons within the management team to whom responsibility for the activity in question has been delegated;
b) Where applicable, the identity of the person or persons within the management team to whom responsibility for the activity concerned has been delegated is attested by a copy of the identity card or passport;
c) The address of the registered office;
d) The company name and, where applicable, the acronym, sign and trading name;
e) The identity of their shareholders or members, whether natural persons or legal entities, who hold a stake of more than 10% in the intermediary, and the amounts of these stakes.
3° Legal form, SIREN number and :
a) If the intermediary is registered in the Trade and Companies Register, an extract from the registration certificate dating back less than three months;
b) If the person is not registered in the Trade and Companies Register, a copy of the identity card or passport certifying the identity of the natural persons who direct, manage or administer and/or are directly responsible for the business;
4° Proof of the category in which the intermediary is applying for registration:
a) For brokers and brokerage companies, a certificate of registration in the Trade and Companies Register, dated less than three months and mentioning the insurance brokerage activity, drawn up in the name of the person concerned if the brokerage activity is carried out in his own name and in the name of the company concerned if it is not;
b) For general insurance agents, a document certifying the existence and, where applicable, the duration of the general insurance agent's mandate(s);
c) For the persons mentioned in 3° of article R. 511-2, a document attesting to the existence of one or more mandates. For the persons mentioned in 4° of Article R. 511-2, a document attesting to the existence of all the mandates and specifying the categories of registration of the principal in the register mentioned in I of Article L. 512-1 of the Insurance Code.
5° Indication that the intermediation activity is carried out on a principal or ancillary basis and, where applicable, the nature of the principal activity;
6° The professional indemnity insurance certificate provided for in article R. 512-14 or, for the intermediaries referred to in 2°, 3° and 4° of article R. 511-2, any document certifying that full responsibility for the intermediary's actions is assumed by the principal or principals under the conditions provided for in III of article L. 511-1 ;
7° The financial guarantee certificate provided for in article R. 512-15 or, for the intermediaries referred to in 2° and 3° of article R. 511-2, any document attesting to a mandate to collect premiums or contributions and, where applicable, a mandate to settle claims or, where applicable, a declaration by the intermediary stating on his honour that he does not collect funds;
8° Document(s) attesting to compliance with the conditions of professional competence as defined in sub-section 2 of Chapter IV of this Title;
9° The body referred to in article L. 512-1 may, in application of the provisions of article R. 514-1, request, in addition, the production of a birth certificate;
10° Payment of the registration fee;
11° An indication that the intermediary has close links within the meaning of 9° of Article L. 310-3 with one or more natural or legal persons subject to the laws, regulations or administrative provisions of a third country, in order to verify that these provisions do not hinder the proper performance of the duties of the body that keeps the register referred to in I of Article L. 512-1;
12° Where the intermediary intends to carry on business on a self-employed basis pursuant to the provisions of Articles L. 515-3 et seq., and in order to assess whether the organisational structure or financial situation is appropriate for the proposed business, additional information may be required, such as the company's up-to-date articles of association, its most recent parent company financial statements, proof of registration with the Trade and Companies Register of the place where the company is established, a document certifying the appointment of the branch manager, an organisation chart or any other information that makes it possible to determine whether the company belongs to a group, and the programme of operations relating to the proposed business;
13° The intermediary's website address, if any, and a publicly accessible e-mail address and telephone number;
14° For the intermediaries mentioned in I of Article L. 513-3, a document less than two months old attesting to their membership of an approved professional association.
