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AMF Position DOC-2022-03: Suitability and Simple Execution Requirements under MiFID II

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The French Autorité des Marchés Financiers (AMF) issued Position DOC-2022-03 to integrate ESMA guidelines regarding the suitability and simple execution requirements of the MiFID II Directive. This document aims to clarify the application of these regulatory obligations and promote greater convergence across European markets by addressing key operational questions. It serves as a doctrinal reference for investment service providers to ensure compliance with Articles L. 533-13 and 56 of the Delegated Regulation.

FranceAutorite des Marches Financiers

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III - Providers
III. 1 - Investment service providers
III. 1.3. Conduct rules
Doctrine
Asset Management

Suitability and Simple Execution Requirements under the MiFID II Directive

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Applicable from October 12, 2022
Position DOC-2022-03

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Summary
The AMF Position DOC-2022-03 integrates the ESMA guidelines concerning "certain aspects relating to the suitability and simple execution requirements of the MiFID II Directive" (ESMA35-43-3006). These Guidelines aim to clarify the application of these requirements and foster greater European convergence, focusing on a number of important issues.

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Reference texts

Article L. 533-13 II and III of the Monetary and Financial Code

Article 56 of Delegated Regulation (EU) 2017/565
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Source: Autorite des Marches Financiers — original document · Summary generated with machine assistance and reviewed before publication; the authoritative text is the regulator's original document. How RegAlert works

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