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In-depth Savings & services providers: Marketing

The AMF is supplementing its doctrine on the collection of information related to the client’s knowledge by publishing a Position/Recommendation dedicated to the digitisation of client relationships

Published on July 28, 2017

Mindful of the new technological environment with its benefits in terms of traceability, transparency and fluidity in client relationships, the AMF also wishes to guarantee effective protection for savers. In this context, the AMF is supplementing its Position DOC-2013-02 on collecting know-your client information in a Position/Recommendation dedicated to the risks brought about by the digitisation of relationships between the service provider and its client for the provision of investment services. This publication forms part of the work currently being conducted by the AMF with the ACPR within a joint unit, on the use of digital technologies in the financial sector’s commercial practices.

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Intermediation in miscellaneous assets: amendment to the General Regulation and publication of a new Instruction (2017-06)

Published on July 19, 2017

Law No. 2016-1691 of 9 December 2016 on transparency, anti-corruption and economic modernisation (the so-called Sapin II law) changed the rules on intermediation in miscellaneous assets laid down in articles L. 550-1 et seq. of the Monetary and Financial Code. Consequently, the AMF is amending its General Regulation and publishing a new instruction.

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Discretionary portfolio management obligations with respect to retail clients: the AMF strengthens its policy

Published on July 24, 2015

The Autorité des Marchés Financiers (AMF) is strengthening its policy on professional obligations towards retail clients with regard to discretionary portfolio management (DOC-2007-21). Certain principles already applied to collective management will be reapplied and mandates invested in unlisted securities will be supervised with new rules.

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European authorities launch discussions on the content of the Key Information Document within the scope of the European PRIIPS Regulation

Published on July 16, 2015

The Joint Committee, which brings together the three European Supervisory Authorities (ESMA, EBA, EIOPA), has just published a discussion paper on the content of the Key Information Document (KID) for investors, as set out in the European PRIIPs (Packaged Retail and Insurance-based Investment Products) Regulation.

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Non standard investments: the AMF calls for financial investment advisers and their professional association to be vigilant

Published on March 23, 2015

In a context of low interest rates, the AMF is noting an increase in "atypical investments" (forests, diamonds, wine, works of art, photovoltaics, manuscripts, etc.) offered to the public, often coming from non-regulated firms. It also appears that financial investment advisers (CIF – Conseiller en investissement financier), important vectors for marketing financial products, are being solicited to distribute these products.

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Marketing of AIFs and disclosure to investors: publication of a guide and two instructions

Published on December 18, 2014

The AMF has published a guide to UCITS and AIF marketing regimes in France (Position DOC-2014-04), an instruction on the procedure for marketing units or shares of AIFs (DOC-2014-03) and an instruction on disclosure to investors in unauthorised or undeclared AIFs (DOC-2014-02).

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Certification by the AMF of market participants’ professional knowledge: doctrine updated

Published on April 8, 2014

The AMF has updated its Instruction DOC- 2010-09 “Certification by the AMF of an examination on the professional knowledge of market participants”. This instruction describes the features of the AMF-certified examination, the content of the certification examination application file and the obligations incumbent upon certified bodies.

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New recommendation by the ARPP to increase regulation of advertising for financial and investment products

Published on March 4, 2014

The ARPP, France's self-regulatory organisation for advertising, has just approved a recommendation that provides a set of common ground rules for advertising for financial and investment products and related services. The provisions for the recommendation will go into effect no later than 23 April 2014.

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AMF updates policy on the FIA regime

Published on February 20, 2014

The AMF has updated Position-Recommendation DOC-2006-23 "Questions and answers on the rules that apply to financial investment advisers ". The update expands the AMF's policy on the regime applicable to FIAs and incorporates recent regulatory amendments.

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The European Commission puts forward a proposed regulation on key information documents concerning RIPs

Published on July 3, 2012

The proposed European Commission regulation follows the European consultation on the RIPs (retail investment products, previously known as PRIPs) project launched on 26 November 2010. The proposed regulation covers investment products whose performance depends on other assets such as investment funds, structured bonds, structured bank deposits, life insurance policies, etc.

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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