Regulatory AlertsDOC-2016-11 Q&A on the Verification of Minimum Knowledge Levels for Financial Investment Advisors
The Autorité des marchés financiers (AMF) issued DOC-2016-11 to provide guidance on the verification of minimum knowledge levels for financial investment advisors. This document, applicable from January 1, 2017, addresses general provisions regarding commercialization and client relations under Articles 325-12-2 to 325-12-4 of the AMF General Regulation. It serves as a doctrinal reference for professionals seeking to comply with certification requirements.
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IV - Commercialization - Client Relations IV. 1 - General Provisions Doctrine Professional Certification
Q&A on the Verification of Minimum Knowledge Levels for Financial Investment Advisors
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Applicable from January 1, 2017 Position DOC-2016-11
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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