Regulatory AlertsDOC-2016-10 Verification of the minimum knowledge of financial investment advisors
The Autorité des marchés financiers (AMF) issued Instruction DOC-2016-10 to establish the doctrine regarding the verification of minimum knowledge for financial investment advisors. This regulatory guidance, applicable from January 1, 2017, mandates compliance with Articles 325-12-2 to 325-12-4 of the AMF General Regulation. It serves as the authoritative framework for ensuring professionals meet the required competency standards in commercialization and client relations.
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IV - Commercialization - Client Relationship IV. 1 - General Provisions Doctrine Professional Certification
Verification of the minimum knowledge of financial investment advisors
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Applicable from January 1, 2017 Instruction DOC-2016-10
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Articles 325-12-2 to 325-12-4 of the AMF General Regulation Legal notices: Publisher: The Director of the AMF Communication Department. Contact: Communication Department, Autorité des marchés financiers - 17, place de la Bourse - 75082 Paris Cedex 02