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Policy IV - Marketing - Customer relationship Collecting ‘know-your-client’ information

Abstract

In order to give suitable advice when marketing financial instruments, professionals must enquire about the client’s requirements and needs, his financial situation and his objectives, and about his knowledge and experience in financial matters. Clarifications are therefore given about the methods for collecting information, its traceability, the quality of its content, its use, and the resources and procedures to be implemented.

Collecting information about investors: the ACP and the AMF strengthen their due diligence on the distribution of savings products

Recommendation on gathering customer information in the framework of the duty to provide advice on life insurance policies - 2013-R-01

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