Regulatory AlertsDOC-2013-10 Incentives and Remuneration Received in the Context of Distribution and Mandate Management of Financial Instruments
The French Autorité des Marchés Financiers (AMF) issued Position-Recommendation DOC-2013-10 to provide detailed guidance on the application of the regulatory regime governing incentives and remuneration received during the distribution and mandate management of financial instruments. This doctrine clarifies compliance requirements under Articles 314-76 and 325-6 of the AMF General Regulation, as well as relevant provisions of the Monetary and Financial Code and EU Delegated Regulation 2017/565. The document establishes specific operational rules for investment service providers to ensure that such payments do not compromise the integrity of services provided to clients.
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