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- Applicable from 6 November 2014 to 5 March 2019
- Position DOC-2012-13
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From 22 December 2012 to 05 November 2014 | Position DOC-2012-13
Suitability requirements for financial services and products provided to clients
In its Position, the AMF integrates the ESMA guidelines on the suitability requirements related to financial services and products proposed to clients (ESMA/2012/387). Investment services providers that propose portfolio management or investment advice services must apply appropriate procedures allowing them to analyse the elements related to the client's investment objectives, his financial situation and his experience in order to offer him suitable services or instruments.
Reference texts
- Article L.533-10 up to L.533-10-1 of the Monetary and Financial Code (in French only)
- Article L.533-11 up to L.533-13 of the Monetary and Financial Code (in French only)
- Articles 313-49 to 313-52 of the General Regulation
- Articles 313-54 to 313-58 of the General Regulation
- Articles 314-44 to 314-47 of the General Regulation
- Articles 314-51 to 314-54 of the General Regulation
- Article 314-18 of the General Regulation
Legal information:
Head of publications: The Executive Director of AMF Communication Directorate. Contact: Communication Directorate – Autorité des marches financiers 17 place de la Bourse – 75082 Paris cedex 02
Head of publications: The Executive Director of AMF Communication Directorate. Contact: Communication Directorate – Autorité des marches financiers 17 place de la Bourse – 75082 Paris cedex 02