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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
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From 01 January 2018 to 17 October 2019 | Instruction DOC-2014-01
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
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From 10 January 2014 to 31 December 2017 | Instruction DOC-2014-01
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