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Marketing of complex financial instruments
Document
Summary
As structured funds and complex debt securities present risks that retail clients cannot easily understand, the AMF reminds professionals (investment services providers, financial investment advisers and direct marketers) of their obligations when marketing these products, and lays down four criteria for appraising mis-selling risks.
Reference texts
- Article L. 533-11 to L. 533-13 of the Monetary and Financial Code (in French only)
- Article L. 541-8-1 of the Monetary and Financial Code (in French only)
- Article L.533-22-2-1 of the Monetary and Financial (in French only)
- Articles 212-28 I, 314-6, 325-12, 411-126 and 421-25 of the General Regulation
Archives
- From 12 January 2017 to 07 October 2018 | Position DOC-2010-05
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Reference texts
- From 20 September 2013 to 11 January 2017 | Position DOC-2010-05
As structured funds and complex debt securities present risks that retail clients cannot easily understand, the AMF reminds professionals (investment services providers, financial investment advisers and direct marketers) of their obligations when marketing these products, and lays down four criteria for appraising mis-selling risks.
Reference texts
- Article L. 533-11 to L. 533-13 of the Monetary and Financial Code (in French only)
- Article L. 541-8-1 of the Monetary and Financial Code (in French only)
- Articles 314-33 to 314-36 of the AMF General Regulation
- Article 314-10 of the AMF General Regulation
- Article 314-18 of the AMF General Regulation
- Article 325-5 of the AMF General Regulation
- From 15 October 2010 to 19 September 2013 | Position DOC-2010-05
Reference texts
- Article L.533-11 to L.533-13 of the Monetary and Financial Code (in French only)
- Article L.541-8-1 of the Monetary and Financial Code (in French only)
- Articles 314-33 to 314-36 of the AMF General Regulation
- Article 314-10 of the AMF General Regulation
- Article 314-18 of the AMF General Regulation
- Article 325-5 of the AMF General Regulation
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