Regulatory AlertsDOC-2014-01 Programme of Activity of Investment Service Providers and AMF Information
The French Financial Markets Authority (AMF) issued Instruction DOC-2014-01 to define the conditions for approving the program of activity for investment service providers other than portfolio management companies. The instruction details procedures for passport notifications, client categorization thresholds, and authorizations for reference index administration and data communication services. It also outlines specific organizational obligations, including compliance functions and personal transactions, while noting that updates regarding MiFID II transposition are pending.
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III - Providers III. 1 - Investment service providers III. 1.1. Approval / Programme of activity / Passport Doctrine Organization Rules
Programme of activity of investment service providers and AMF information
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Applicable as of May 16, 2023 Instruction DOC-2014-01
Download Viewed Version Summary Instruction DOC-2014-01 specifies for investment service providers other than portfolio management companies the conditions for the AMF to process requests for approval of their programme of activity. The instruction also includes the procedure for requests by ISPs for approval or registration as a reference index administrator and authorization to provide one or more data communication services.
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Download the full overview of the doctrine Reference texts
Article 311-2 of the General Regulation
Article 311-3 of the General Regulation
Article 312-2 of the General Regulation
Forms and declarations relating to ISPs other than SGP: Annex 1 of AMF Instruction DOC-2014-01
ISP approval forms (ACPR website) Archives
Instruction DOC-2014-01 specifies for investment service providers other than portfolio management companies the conditions for the AMF to process requests for approval of their programme of activity. The instruction also includes the procedure for requests by ISPs for approval or registration as a reference index administrator and authorization to provide one or more data communication services.
Download the doctrine Reference texts
Articles 311-2, 311-3, 312-1 and 312-2 of the AMF General Regulation
Forms and declarations relating to ISPs other than SGP: Annex 1 of AMF Instruction DOC-2014-01
ISP approval forms (ACPR website)
Investment service providers other than portfolio management companies
Instruction DOC-2014-01 specifies for investment service providers other than portfolio management companies the conditions for processing their programme of activity and certain of their obligations (notably regarding the compliance function and personal transactions). The instruction sets the gross amount of a significant transaction within the framework of client categorization and details passport notification procedures. This document has not been updated with regard to texts transposing MiFID 2 and/or separating the legal regime of investment firms and portfolio management companies. This update will be carried out shortly.
Download the doctrine Reference texts
Articles 311-8 to 311-12, 313-1 to 313-53-7, 314-1 to 314-76, 314-79 to 314-97, 314-105 and 315-1 to 315-49 of the AMF General Regulation
ISP approval forms (ACPR website)
Investment service providers other than portfolio management companies
Forms and declarations relating to ISPs other than SGP: Annexes 1 and 2 of AMF Instruction DOC-2014-01
Instruction DOC-2014-01 specifies for investment service providers other than portfolio management companies the conditions for processing their programme of activity and certain of their obligations (notably regarding the compliance function and personal transactions). The instruction sets the gross amount of a significant transaction within the framework of client categorization and details passport notification procedures.
Download the doctrine Reference texts
Articles 311-8 to 311-12, 313-1 to 313-53-7, 314-1 to 314-76, 314-79 to 314-97, 314-105 and 315-1 to 315-49 of the AMF General Regulation
Investment service providers other than portfolio management companies
ISP approval forms (ACPR website)
Forms and declarations relating to ISPs other than SGP: Annexes 1 and 2 of AMF Instruction No. 2014-01 Keywords
Asset Management 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