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Policy IV - Marketing - Customer relationship Marketing of complex financial instruments

Abstract

As structured funds and complex debt securities present risks that retail clients cannot easily understand, the AMF reminds professionals (investment services providers, financial investment advisers and direct marketers) of their obligations when marketing these products, and lays down four criteria for appraising mis-selling risks.

Marketing complex final instruments to the public: AMF and ACP step up their vigilance

Prudential Supervisory Authority - Recommendation relating to the marketing of unit-linked life insurance policies composed of complex financial instruments, issued in accordance with paragraph 3 of point II of Article L. 612-1 of the French monetary and financial code (2010-R-01)

Marketing of complex financial instruments

Position DOC-2010-05 Applicable from October 15, 2010 to September 19, 2013

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