Regulatory AlertsDOC-2007-01 Professional Cards for Individuals Other Than RCCI or RSCI and Staff of Trading Venues, MTF Managers, or Clearing Houses
The Autorité des marchés financiers (AMF) issued Instruction DOC-2007-01 to establish organizational rules and doctrines regarding professional cards for individuals who are not RCCI or RSCI holders. This regulation specifically governs the professional cards of staff working at trading venues, multilateral trading facility managers, and clearing houses. The document mandates compliance with Articles 313-29, 313-32, 512-11, 523-3, and 541-9 of the General Regulation.
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III - Service Providers III. 1 - Investment Service Providers III. 1.2. Organizational Rules Doctrine Compliance
Professional Cards for Individuals Other Than RCCI or RSCI and Staff of Trading Venues, Multilateral Trading Facility Managers, or Clearing Houses
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Applicable as of February 11, 2019 Instruction DOC-2007-01
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Article 313-29 of the General Regulation
Article 313-32 of the General Regulation
Article 512-11 of the General Regulation
Article 523-3 of the General Regulation
Article 541-9 of the General Regulation Archives
Download the doctrine Reference texts
Article 313-29 of the General Regulation
Article 313-32 of the General Regulation
Article 512-11 of the General Regulation
Article 523-3 of the General Regulation
Article 541-9 of the General Regulation 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