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

Printed from a page on the AMF website

Please disable your ad blocker to view this video.

III - Providers
III. 1 - Investment Service Providers
III. 1.2. Organizational Rules
Doctrine
Organizational Rules

Questions and Answers Regarding Organizational Rules for Investment Service Providers

Share by email

Applicable as of December 17, 2020
Position - Recommendation DOC-2007-24

Print

Download
Viewed Version
Summary
This position-recommendation aims to answer questions that professionals may have regarding the organizational rules for ISPs. In this context, clarifications are provided on four themes, namely personal transactions, conflicts of interest, professional cards, as well as the recording and retention of data.

Download the doctrine
Reference texts

Article 315-4 of the General Regulation

Article L. 533-10 of the Monetary and Financial Code

Articles 22, 28, 29, 33 of Delegated Regulation (EU) 2017/565 Archives

This position-recommendation aims to answer questions that professionals may have regarding the organizational rules for ISPs. In this context, clarifications are provided on four themes, namely personal transactions, conflicts of interest, professional cards, as well as the recording and retention of data.

Download the doctrine
Reference texts

Article 313-2 of the General Regulation

Article 313-9 of the General Regulation

Article 313-11 of the General Regulation

Article 313-51 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