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- Position - Recommendation DOC-2012-19
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From 21 March 2022 to 20 July 2023 | Position - Recommendation DOC-2012-19
The position-recommandation DOC-2012-19 outlines how to complete the sections of the autorization application (including the program of operations) and complementary sheets. In particular it provides specific instructions on the "four eyes" (quatre yeux) rule, access to (information on) the position of the market member, the credit analysis, delegation and outsourcing, the practice of cash pooling (centralised treasury management authorised provided that certain conditions are met) as well as on internal control procedures.
Reference texts
From 24 January 2019 to 20 March 2022 | Position - Recommendation DOC-2012-19
The position-recommandation DOC-2012-19 outlines how to complete the sections of the autorization application (including the program of operations) and complementary sheets. In particular it provides specific instructions on the "four eyes" (quatre yeux) rule, access to (information on) the position of the market member, the credit analysis, delegation and outsourcing, the practice of cash pooling (centralised treasury management authorised provided that certain conditions are met) as well as on internal control procedures.
Reference texts
From 31 January 2018 to 23 January 2019 | Position - Recommendation DOC-2012-19
The position-recommandation DOC-2012-19 outlines how to complete the sections of the autorization application (including the program of operations) and complementary sheets. In particular it provides specific instructions on the “four eyes” (quatre yeux) rule, access to (information on) the position of the market member, the credit analysis, delegation and outsourcing, the practice of cash pooling (centralised treasury management authorised provided that certain conditions are met) as well as on internal control procedures. This document has not been updated for the laws and regulations that transpose MiFID II and legally separate investment firms from asset management companies. The update will take place in the near future.
Reference texts
From 01 January 2018 to 30 January 2018 | Position - Recommendation DOC-2012-19
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From 27 November 2017 to 31 December 2017 | Position - Recommendation DOC-2012-19
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From 20 June 2017 to 26 November 2017 | Position - Recommendation DOC-2012-19
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From 15 March 2017 to 19 June 2017 | Position - Recommendation DOC-2012-19
The position-recommandation DOC-2012-19 outlines how to complete the sections of the autorization application (including the program of operations) and complementary sheets. In particular it provides specific instructions on the "four eyes" (quatre yeux) rule, access to (information on) the position of the market member, the credit analysis, delegation and outsourcing, the practice of cash pooling (centralised treasury management authorised provided that certain conditions are met) as well as on internal control procedures.
Reference texts
From 12 January 2017 to 14 March 2017 | Position - Recommendation DOC-2012-19
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From 01 July 2016 to 11 January 2017 | Position - Recommendation DOC-2012-19
The position-recommandation DOC-2012-19 outlines how to complete the sections of the autorization application (including the program of operations) and complementary sheets. In particular it provides specific instructions on the "four eyes" (quatre yeux) rule, access to (information on) the position of the market member, the credit analysis, delegation and outsourcing, the practice of cash pooling (centralised treasury management authorised provided that certain conditions are met) as well as on internal control procedures.
Reference texts
From 26 May 2016 to 30 June 2016 | Position - Recommendation DOC-2012-19
Reference texts
- Article 311-1 of the General Regulation
- Article 311-2 of the General Regulation
- Article 312-2 of the General Regulation
- Article 312-3 of the General Regulation
- Article 312-6 of the General Regulation
- Article 312-7 of the General Regulation
- Article 312-8 of the General Regulation
- Article 313-54 of the General Regulation
- Articles 313-72 to 313-77 of the General Regulation
- Article 316-3 of the General Regulation
- Article 316-4 of the General Regulation
- Article 317-7 of the General Regulation
- Articles 317-1 to 317-5 of the General Regulation
- Article 318-1 of the General Regulation
- Article 318-58 of the General Regulation
Consult online policy
This version of the document is not available in English
From 19 April 2016 to 25 May 2016 | Position - Recommendation DOC-2012-19
The position-recommandation DOC-2012-19 outlines how to complete the sections of the autorization application (including the program of operations) and complementary sheets. In particular it provides specific instructions on the "four eyes" (quatre yeux) rule, access to (information on) the position of the market member, the credit analysis, delegation and outsourcing, the practice of cash pooling (centralised treasury management authorised provided that certain conditions are met) as well as on internal control procedures.
Reference texts
- Article 311-1 of the General Regulation
- Article 311-2 of the General Regulation
- Article 312-2 of the General Regulation
- Article 312-3 of the General Regulation
- Article 312-6 of the General Regulation
- Article 312-7 of the General Regulation
- Article 312-8 of the General Regulation
- Article 313-54 of the General Regulation
- Articles 313-72 to 313-77 of the General Regulation
- Article 316-3 of the General Regulation
- Article 316-4 of the General Regulation
- Article 317-7 of the General Regulation
- Articles 317-1 to 317-5 of the General Regulation
- Article 318-1 of the General Regulation
- Article 318-58 of the General Regulation
From 04 February 2015 to 18 April 2016 | Position - Recommendation DOC-2012-19
The position-recommandation DOC-2012-19 outlines how to complete the sections of the autorization application (including the program of operations) and complementary sheets. In particular it provides specific instructions on the "four eyes" (quatre yeux) rule, access to (information on) the position of the market member, the credit analysis, delegation and outsourcing, the practice of cash pooling (centralised treasury management authorised provided that certain conditions are met) as well as on internal control procedures.
Reference texts
- Article 311-1 of the General Regulation
- Article 311-2 of the General Regulation
- Article 312-2 of the General Regulation
- Article 312-3 of the General Regulation
- Article 312-6 of the General Regulation
- Article 312-7 of the General Regulation
- Article 312-8 of the General Regulation
- Article 313-54 of the General Regulation
- Articles 313-72 to 313-77 of the General Regulation
- Article 316-3 of the General Regulation
- Article 316-4 of the General Regulation
- Article 317-7 of the General Regulation
- Articles 317-1 to 317-5 of the General Regulation
- Article 318-1 of the General Regulation
- Article 318-58 of the General Regulation
From 18 December 2012 to 03 February 2015 | Position - Recommendation DOC-2012-19
The position-recommandation DOC-2012-19 outlines how to complete the sections of the autorization application (including the program of operations) and complementary sheets. In particular it provides specific instructions on the "four eyes" (quatre yeux) rule, access to (information on) the position of the market member, the credit analysis, delegation and outsourcing, the practice of cash pooling (centralised treasury management authorised provided that certain conditions are met) as well as on internal control procedures.
Reference texts
- Article 311-1 of the General Regulation
- Article 311-2 of the General Regulation
- Article 312-6 of the General Regulation
- Article 312-8 of the General Regulation
- Article 313-54 of the General Regulation
- Articles 313-72 to 313-77 of the General Regulation
Consult online policy
This version is not available in English
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