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Article 327-8 into force since

  • Version into force since
ELI : /en/eli/fr/aai/amf/rg/article/327-8/20071231/notes

I. - The industry association shall draw up a code of conduct that defines the fundamental principles that its members must comply with. The members of the association may give consideration to their size and organisational structure for the application of such principles.

The association shall draw up written procedures for supervising its members' compliance with legal, regulatory and ethical provisions.

II. - More specifically, the association's code of conduct shall define:

  1. Written procedures for admitting and sanctioning its members;

  2. The skills, training, professional experience and resources that the members must have;

  3. A code of conduct, as stipulated in Article 337-6;

  4. The confidentiality rules applying to its members;

  5. Where applicable, the establishment, management and supervision or participation in a mutual fund to finance research.

III. - The code of conduct shall specify any penalties for non-compliance.

IV. - The code of conduct shall be available for consultation by anyone at anytime by applying to the association's registered office. It shall also be posted on the association's website, if it has one.