Print

Policy IV - Marketing - Customer relationship Questions and answers on the rules that apply to financial investment advisers

Segment information

Abstract

These questions and answers aim to clarify the activities that do and do not fall under the status of financial investment adviser, some of its requirements (including in the event of a significant relationship with a direct marketer) and the conditions surrounding direct marketing of banking or financial products for an advice service.

Questions and answers on the provision of an investment service of investment advice

Regulation > Policy > Policy principles

These questions and answers provide clarifications on the criteria for defining an investment service of investment advice, and on the requirements incumbent upon the investment services provider when it provides such a service.

Read on

Placement services and marketing of financial instruments

Regulation > Policy > Policy principles

The AMF clarifies the scope of placement services in relation to the marketing of financial instruments. The Position specifies that a non-guaranteed placement service is not provided when products offering an investment solution (CIS and structured debt instruments) are marketed, and that the activity of finding subscribers or purchasers in conjunction with an accredited investment services provider does not itself require accreditation.

Read on

Questions and answers on the rules that apply to financial investment advisers

Position DOC-2006-23 Applicable from September 22, 2006 to January 20, 2014

These questions and answers aim to clarify the activities that do and do not fall under the status of financial investment adviser, some of its requirements (including in the event of a significant relationship with a direct marketer) and the conditions surrounding direct marketing of banking or financial products for an advice service.

Link to the document

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