Regulatory AlertsDOC-2013-07 Professional Competence Requirements for AMF Financial Investment Advisors and Information Providers
The French Financial Markets Authority (AMF) issued Instruction DOC-2013-07 to define the professional competence rules, including required diplomas, training, or experience, that candidates for the Financial Investment Advisor (CIF) status must satisfy. The instruction also mandates specific topics for continuing education and outlines the information associations of CIFs must provide to the AMF. Although the document has not yet been updated to reflect MiFID II transposition, it remains the primary reference for CIF competence standards under Articles 325-1 and 325-21 of the General Regulation.
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DOC-2013-07 Professional Competence Requirements for AMF Financial Investment Advisors and Information Providers regarding their activity
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Applicable as of May 5, 2020 Instruction DOC-2013-07
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Version consulted Summary Instruction DOC-2013-07 clarifies the competence rules that candidates for the status of CIF (Financial Investment Advisor) must satisfy (diploma, training, or professional experience) and the information to be provided to the AMF through the CIF associations.
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Article 325-1 of the General Regulation
Article 325-21 of the General Regulation Archives
Instruction DOC-2013-07 clarifies the competence rules that candidates for the status of CIF (diploma, training, or professional experience) must satisfy, the topics that must at least be covered during training for the updating of their knowledge, and the information to be provided to the AMF by the CIF associations.
Download the doctrine Reference texts
Article 325-1 of the General Regulation
Article 325-21 of the General Regulation
Article 325-38 of the General Regulation
Article 325-42 of the General Regulation
Instruction DOC-2013-07 clarifies the competence rules that candidates for the status of CIF (diploma, training, or professional experience) must satisfy, the topics that must at least be covered during training for the updating of their knowledge, and the information to be provided to the AMF by the CIF associations. This document has not been updated regarding the texts transposing MiFID II and separating the legal regime of investment firms and portfolio management companies. This update will be carried out shortly.
Download the doctrine Reference texts
Article 325-1 of the General Regulation
Article 325-11-1 of the General Regulation
Article 325-19 of the General Regulation
Article 325-23 of the General Regulation
Instruction DOC-2013-07 clarifies the competence rules that candidates for the status of CIF (diploma, training, or professional experience) must satisfy, the topics that must at least be covered during training for the updating of their knowledge, and the information to be provided to the AMF by the CIF associations.
Download the doctrine Reference texts
Article 325-1 of the General Regulation
Article 325-19 of the General Regulation
Article 325-23 of the 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