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III - Providers
III. 1 - Investment services providers
III. 1.3. Rules of conduct
Q&A on the rules of conduct applicable to investment services providers
Q&A on the rules of conduct applicable to investment services providers
Document
Summary
The purpose of this Position-Recommendation is to answer questions that market professionals may have about the rules of conduct applicable to ISPs. It provides clarification on four topics: client categorisation, information provided to clients, agreements to be entered into, and suitability assessment.
Reference texts
- Article L. 533-16 of the Monetary and Financial Code (in french only)
- Article L. 533.20 of the Monetary and Financial Code (in french only)
- Articles D. 533-4 to D. 533-14 of the Monetary and Financial Code (in french only)
- Article D. 533-15 of the Monetary and Financial Code (in french only)
- Articles 3, 58 and 59 of Commission Delegated Regulation (EU) 2017/565
- Article 314-11 of the AMF General Regulation
Archives
From 17 December 2020 to 31 December 2022 | Position - Recommendation DOC-2007-25
Q&A on the rules of conduct applicable to investment services providers
From 23 October 2007 to 16 December 2020 | Position - Recommendation DOC-2007-25
Q&A on the rules of conduct applicable to investment services providers
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Keywords
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