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Policy III - Providers Questions and answers on the provision of an investment service of investment advice

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Position - Recommendation DOC-2008-23

Applicable from July 29, 2014 to October 17, 2019

Abstract

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Q&A on the treatment applicable to financial investment advisors

Regulation > Policy > Policy principles

These questions and answers aim to clarify the activities that do and do not fall under the status of financial investment adviser, some of its requirements (including in the event of a significant relationship with a direct marketer) and the conditions surrounding direct marketing of banking or financial products for an advice service.

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Questions and answers on the provision of an investment service of investment advice

Position , Recommendation DOC-2008-23 Applicable from December 9, 2009 to July 28, 2014

These questions and answers provide clarifications on the criteria for defining an investment service of investment advice, and on the requirements incumbent upon the investment services provider when it provides such a service.

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Table des matières de la doctrine

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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