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Policy III - Providers Programme of activity, obligations incumbent on investment services providers, passport notification

Segment information

Instruction DOC-2014-01

Relevant on January 10, 2014

Abstract

For investment services providers other than investment management companies, instruction DOC-2014-01 sets out the conditions in which their programme of activity is examined as well as some of the obligations incumbent on them, especially as regards the compliance function and personal trading. Concerning client categorisation, the instruction sets the gross amount of a significant transaction and also gives details of the passport notification procedure.

Forms - Other investment services providers : annexes 1 and 2 of AMF Instruction DOC-2014-01

Authorisation application forms for other investment services providers (Web site of ACPR)

Table des matières de la doctrine

Legal information
Head of publications: Florence Gaubert, Executive Director of AMF Communication Directorate.
Contact: Communication Directorate – Autorité des marches financiers 17 place de la Bourse – 75082 Paris cedex 02