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  • Applicable from 28 February 2008 to 9 January 2014
  • Instruction DOC-2008-01

Investment services providers others than asset management companies



The AMF specifies, for investment services providers other than portfolio management companies, the rules governing organisation of the compliance function, the conditions of application of the provisions governing personal transactions, the conditions to be respected when verifying the identity and legal capacity of new clients, and the gross amount above which a transaction is considered as significant when categorising clients.

Reference texts