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Policy III - Providers Professional obligations towards retail clients imposed on investment services providers managing a portfolio on behalf of a third party

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Position - Recommendation DOC-2007-21

Applicable from July 29, 2014 to July 15, 2015

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Abstract

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Professional obligations towards retail clients imposed on investment services providers managing a portfolio on behalf of a third party

Position , Recommendation DOC-2007-21 Applicable from December 18, 2012 to October 1, 2013

The AMF details the professional obligations towards retail clients in terms of portfolio management on behalf of third parties. Clarifications are given about the procedures for entering into a business relationship with the client, discretionary management agreements (form, content, reporting to the client on management of his portfolio) and procedures for executing the portfolio discretionary management agreement.

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Professional obligations towards retail clients imposed on investment services providers managing a portfolio on behalf of a third party

Position , Recommendation DOC-2007-21 Applicable from October 2, 2013 to July 28, 2014

The AMF details the professional obligations towards retail clients in terms of portfolio management on behalf of third parties. Clarifications are given about the procedures for entering into a business relationship with the client, discretionary management agreements (form, content, reporting to the client on management of his portfolio) and procedures for executing the portfolio discretionary management agreement.

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Table des matières de la doctrine

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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