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- If the client does not provide the information on the MiFID questionnaire, the bank must refrain from providing investment advice
If the client does not provide the information on the MiFID questionnaire, the bank must refrain from providing investment advice
If the client does not provide the information on the MiFID questionnaire, the bank must refrain from providing investment advice
On the same topic
13 February 2024
Definition of investment advice: AMF updates its doctrine Definition of investment advice: AMF updates its doctrine22 December 2023
Failure to reply to a Know Your Customer questionnaire: different consequences depending on whether the questionnaire is intended to assess the client or to combat money… Failure to reply to a Know Your Customer questionnaire: different consequences depending on whether the questionnaire is intended to assess the client or to combat money laundering22 December 2023
AMF Enforcement Committee fines a financial investment advisor and its director for breach of professional obligations AMF Enforcement Committee fines a financial investment advisor and its director for breach of professional obligationsLegal 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