DOC-2007-24 Questions and Answers Regarding Organizational Rules for Investment Service Providers

The French Financial Markets Authority (AMF) issued this document to clarify organizational rules for Investment Service Providers (ISPs) through a Q&A format. It provides specific guidance on four key areas: personal transactions, conflict of interest management, professional cards, and the recording and retention of data. The guidance is based on Article 315-4 of the General Regulation and relevant provisions of the Monetary and Financial Code and EU Delegated Regulation 2017/565.

France

Autorite des Marches Financiers