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Breadcrumb

III - Providers
III. 1 - Investment services providers
III. 1.1. Authorisation / Programme of operations / Passport
Programme of activity of investment services providers and information provided to the AMF
  • Applicable from 18 October 2019
  • Instruction DOC-2014-01

Programme of activity of investment services providers and information provided to the AMF

Document

Summary

For investment services providers other than investment management companies, instruction DOC-2014-01 sets out the conditions in which their programme of activity is examined as well as some of the obligations incumbent on them, especially as regards the compliance function and personal trading. Concerning client categorisation, the instruction sets the gross amount of a significant transaction and also gives details of the passport notification procedure.

Reference texts