Regulatory AlertsDOC-2014-03 Pre-commercialization and Marketing Procedure for FIA Shares or Units
The French Autorité des Marchés Financiers (AMF) issued Instruction DOC-2014-03 to detail the procedures for the pre-commercialization and marketing of Alternative Investment Fund (AIF) shares or units in France. The document specifies the requirements for AIFs managed by a French portfolio management company authorized under the AIFM Directive within another EU Member State. It establishes the regulatory framework and reference articles governing these marketing activities, while noting that updates regarding MiFID II transposition are pending.
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IV - Marketing - Customer Relationship IV. 2 - Specific provisions for certain products Doctrine AIFM
Pre-commercialization and Marketing Procedure for FIA Shares or Units
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Applicable as of March 28, 2024 Instruction DOC-2014-03
Download Viewed Version Summary Instruction DOC-2014-03 details the marketing procedure for AIFs in France. It also clarifies the marketing procedure for AIFs managed by a French portfolio management company authorized under the AIFM Directive in another Member State of the European Union.
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Download the full overview of the doctrine Reference texts
Articles 421-A, 421-1, 421-3-1, 421-13, 421-13-1, 421-14, 421-14-1, 421-27 and 421-27-3 of the General Regulation
Authorization or notification request forms for the marketing of FIA shares or units: annexes A to 4-1 of AMF instruction DOC-2014-03 Archives
Instruction DOC-2014-03 details the marketing procedure for AIFs in France. It also clarifies the marketing procedure for AIFs managed by a French portfolio management company authorized under the AIFM Directive in another Member State of the European Union.
Download the doctrine
Download the full overview of the doctrine Reference texts
Articles 421-A, 421-1, 421-3-1, 421-13, 421-13-1, 421-14, 421-14-1, 421-27 and 421-27-3 of the General Regulation
Authorization or notification request forms for the marketing of FIA shares or units: annexes A to 4-1 of AMF instruction DOC-2014-03
Instruction DOC-2014-03 details the marketing procedure for AIFs in France. It also clarifies the marketing procedure for AIFs managed by a French portfolio management company authorized under the AIFM Directive in another Member State of the European Union.
Download the doctrine
Download the full overview of the doctrine Reference texts
Articles 421-A, 421-1, 421-13, 421-13-1, 421-14 and 421-27 of the General Regulation
Authorization or notification request forms for the marketing of FIA shares or units: annexes 1 to 3 of AMF instruction DOC-2014-03
Instruction DOC-2014-03 details the marketing procedure for AIFs in France. It also clarifies the marketing procedure for AIFs managed by a French portfolio management company authorized under the AIFM Directive in another Member State of the European Union. 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
Download the full overview of the doctrine Reference texts
Articles 421-A, 421-1, 421-13, 421-13-1, 421-14 and 421-27 of the AMF General Regulation
Authorization or notification request forms for the marketing of FIA shares or units: annexes 1 to 3 of AMF instruction DOC-2014-03
Instruction DOC-2014-03 details the marketing procedure for AIFs in France. It also clarifies the marketing procedure for AIFs managed by a French portfolio management company authorized under the AIFM Directive in another Member State of the European Union.
Download the doctrine
Download the full overview of the doctrine Reference texts
Articles 421-A, 421-1, 421-13, 421-13-1, 421-14 and 421-27 of the AMF General Regulation
Authorization or notification request forms for the marketing of FIA shares or units: annexes 1 to 3 of AMF instruction DOC-2014-03
Instruction DOC-2014-03 details the marketing procedure for AIFs in France. It also clarifies the marketing procedure for AIFs managed by a French portfolio management company authorized under the AIFM Directive in another Member State of the European Union.
Download the doctrine
Download the full overview of the doctrine Reference texts
Article 421-1 of the General Regulation
Article 421-13 of the General Regulation
Article 421-13-1 of the General Regulation
Article 421-14 of the General Regulation
Article 421-27 of the General Regulation
Authorization or notification request forms for the marketing of FIA shares or units: annexes 1 to 3 of AMF instruction DOC-2014-03
Instruction DOC-2014-03 details the marketing procedure for AIFs in France. It also clarifies the marketing procedure for AIFs managed by a French portfolio management company authorized under the AIFM Directive in another Member State of the European Union.
Download the doctrine
Download the full overview of the doctrine Reference texts
Article 421-1 of the General Regulation
Article 421-13 of the General Regulation
Article 421-13-1 of the General Regulation
Article 421-14 of the General Regulation
Article 421-27 of the General Regulation
Authorization or notification request forms for the marketing of FIA shares or units: annexes 1 to 3 of AMF instruction DOC-2014-03 Keywords
Marketing
Collective investment schemes 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