Regulatory AlertsDOC-2012-07 Handling of Complaints
The French Financial Markets Authority (AMF) issues Instruction DOC-2012-07 to establish mandatory rules for financial service providers regarding the handling of client complaints. The instruction mandates that entities disclose their complaint resolution systems and mediator access to clients, implement standardized procedures for efficient processing, and maintain monitoring mechanisms to correct operational dysfunctions. These requirements apply to investment service providers, financial investment advisors, participatory investment advisors, SCPI management companies, and issuers of registered securities accounts.
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IV - Marketing - Customer Relations IV. 1 - General Provisions Doctrine Protection of Savings
Handling of Complaints
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Applicable from January 1, 2024 Instruction DOC-2012-07
Download Viewed Version Summary The instruction concerns the handling of complaints relating to any financial instrument, any investment service, digital asset, and service on digital assets falling within the competence of the Autorité des marchés financiers (AMF) when the provider of these services is authorized, and more generally any matter falling within the competence of the Autorité des marchés financiers. It details the information to be given to the client on the complaint handling system and access to a mediator, the procedures to be implemented for effective, equal, and harmonious treatment, and provides for monitoring to correct malfunctions.
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The AMF specifies the rules that Investment Service Providers (PSI), financial investment advisors, participatory investment advisors, SCPI management companies, and issuers of registered securities accounts must respect for the handling of complaints. The instruction details the information to be given to the client on the complaint handling system and access to a mediator, the procedures to be implemented for effective, equal, and harmonious treatment, and provides for monitoring to correct malfunctions.
Download the doctrine Reference texts
Articles 313-8, 318-10, 322-71-1, 325-12-1 and 325-47 of the AMF General Regulation
The AMF specifies the rules that Investment Service Providers (PSI), financial investment advisors, participatory investment advisors, SCPI management companies, and issuers of registered securities accounts must respect for the handling of complaints. The instruction details the information to be given to the client on the complaint handling system and access to a mediator, the procedures to be implemented for effective, equal, and harmonious treatment, and provides for monitoring to correct malfunctions.
Download the doctrine Reference texts
Articles 313-8, 318-10, 321-43-1, 322-71-1, 325-12-1 and 325-47 of the AMF General Regulation
The AMF specifies the rules that Investment Service Providers (PSI), financial investment advisors, participatory investment advisors, SCPI management companies, and issuers of registered securities accounts must respect for the handling of complaints. The instruction details the information to be given to the client on the complaint handling system, the procedures to be implemented for effective, equal, and harmonious treatment, and provides for monitoring to correct malfunctions.
Download the doctrine Reference texts
Article 313-8 of the General Regulation
Article 318-10 of the General Regulation
Article 322-71-1 of the General Regulation
Article 325-12-1 of the General Regulation
Article 321-43-1 of the General Regulation
Article 325-47 of the General Regulation
The AMF specifies the rules that Investment Service Providers (PSI), financial investment advisors, SCPI management companies, and issuers of registered securities accounts must respect for the handling of complaints. The instruction details the information to be given to the client on the complaint handling system, the procedures to be implemented for effective, equal, and harmonious treatment, and provides for monitoring to correct malfunctions.
Download the doctrine Reference texts
Article 313-8 of the General Regulation
Article 322-71-1 of the General Regulation
Article 325-12-1 of the General Regulation
Article 321-43-1 of the General Regulation
The AMF specifies the rules that Investment Service Providers (PSI), financial investment advisors, SCPI management companies, and issuers of registered securities accounts must respect for the handling of complaints. The instruction details the information to be given to the client on the complaint handling system, the procedures to be implemented for effective, equal, and harmonious treatment, and provides for monitoring to correct malfunctions.
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Marketing 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