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- DOC-2007-21
- Applicable from 30 June 2016 to 17 October 2019
- Position - Recommendation DOC-2007-21
Professional obligations towards retail clients imposed on investment services providers managing a portfolio on behalf of a third party (in french only)
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From 29 July 2014 to 15 July 2015 | Position - Recommendation DOC-2007-21
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Reference texts
From 02 October 2013 to 28 July 2014 | Position - Recommendation DOC-2007-21
The AMF details the professional obligations towards retail clients in terms of portfolio management on behalf of third parties. Clarifications are given about the procedures for entering into a business relationship with the client, discretionary management agreements (form, content, reporting to the client on management of his portfolio) and procedures for executing the portfolio discretionary management agreement.
Reference texts
From 18 December 2012 to 01 October 2013 | Position - Recommendation DOC-2007-21
The AMF details the professional obligations towards retail clients in terms of portfolio management on behalf of third parties. Clarifications are given about the procedures for entering into a business relationship with the client, discretionary management agreements (form, content, reporting to the client on management of his portfolio) and procedures for executing the portfolio discretionary management agreement.
Reference texts
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