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Policy IV - Marketing - Customer relationship Questions and answers on the rules that apply to financial investment advisers
Segment information
Position - Recommendation DOC-2006-23
Applicable from January 21, 2014 to October 22, 2018
Reference texts
Abstract
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.
Questions and answers on the provision of an investment service of investment advice
Regulation > Policy > Policy principles
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.
Placement services and marketing of financial instruments
Regulation > Policy > Policy principles
The AMF clarifies the scope of placement services in relation to the marketing of financial instruments. The Position specifies that a non-guaranteed placement service is not provided when products offering an investment solution (CIS and structured debt instruments) are marketed, and that the activity of finding subscribers or purchasers in conjunction with an accredited investment services provider does not itself require accreditation.
Questions and answers on the rules that apply to financial investment advisers
Position DOC-2006-23 Applicable from September 22, 2006 to January 20, 2014
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.
Legal information
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