Regulatory AlertsDOC-2017-06 Registration Procedure and Preparation of Information Document to be Filed with the AMF by Diversified Goods Intermediaries
The French Autorité des Marchés Financiers (AMF) issued Instruction DOC-2017-06 to detail the rules for establishing and registering information documents required from diversified goods intermediaries. The instruction specifies the guarantees intermediaries must provide, the mandatory content of the information documents, and their disclosure obligations toward investors and the regulator. This updated version incorporates renumbered provisions from the Pacte Law and reflects changes in fees and contributions applicable since 2019.
Printed from a page of the AMF website
Please disable your ad blocker to view this video.
IV - Commercialization - Customer Relationship IV. 2 - Specific provisions for certain products Doctrine Diversified Goods
Registration Procedure and Preparation of an Information Document to be Filed with the AMF by Diversified Goods Intermediaries
Share by email
Applicable as of March 11, 2020 Instruction DOC-2017-06
Download Viewed Version Summary Instruction DOC-2017-06 details the rules regarding the preparation and registration of information documents to be filed with the AMF by diversified goods intermediaries. Clarifications are provided, in particular, regarding the guarantees that intermediaries must justify for the registration of an information document, the content of said document, as well as the information methods to which they are subject vis-à-vis investors and the AMF. This new version takes into account, on the one hand, the renumbering of the provisions of the Monetary and Financial Code concerning diversified goods intermediaries carried out by the Pacte Law, and on the other hand, the evolution of rights and contributions due by diversified goods intermediaries since 2019.
Download the doctrine
Download the full preview of the doctrine Reference texts
Articles 441-1 to 441-3 of the AMF General Regulation
Annex 1 - Information sheet to be provided by participants in a diversified goods operation
Annex 2 - Standard plan for the information note
Annex 3 - Summary of the obligations of each diversified goods intermediary Archives
Instruction DOC-2017-06 details the rules regarding the preparation and registration of information documents to be filed with the AMF by diversified goods intermediaries. Clarifications are provided, in particular, regarding the guarantees that intermediaries must justify for the registration of an information document, the content of said document, as well as the information methods to which they are subject vis-à-vis investors and the AMF.
Download the doctrine
Download the full preview of the doctrine Reference texts
Articles 441-1 to 441-3 of the AMF General Regulation
Information sheet to be provided by participants in a diversified goods operation - Annex 1 of Instruction DOC-2017-06
Standard plan for the information note - Annex 2 of Instruction DOC-2017-06
Summary of the obligations of each diversified goods intermediary - Annex 3 of Instruction DOC-2017-06
Instruction DOC-2017-06 details the rules regarding the preparation and registration of information documents to be filed with the AMF by diversified goods intermediaries. Clarifications are provided, in particular, regarding the guarantees that intermediaries must justify for the registration of an information document, the content of said document, as well as the information methods to which they are subject vis-à-vis investors and the AMF.
Download the doctrine
Download the full preview of the doctrine Reference texts
Articles 441-1 to 441-3 of the AMF General Regulation
Information sheet to be provided by participants in a diversified goods operation - Annex 1 of Instruction DOC-2017-06
Standard plan for the information note - Annex 2 of Instruction DOC-2017-06
Summary of the obligations of each diversified goods intermediary - Annex 3 of Instruction DOC-2017-06 Legal notices: Publisher: The Director of the Communication Department of the AMF. Contact: Communication Department, Autorité des marchés financiers - 17, place de la Bourse - 75082 Paris Cedex 02