RegAlertGuidance · AMF · 1 Jan 2007
DOC-2007-25 Questions and Answers on Good Conduct Rules for Investment Service Providers
The French Autorité des Marchés Financiers (AMF) issued this position to clarify good conduct rules applicable to Investment Service Providers (ISPs). The document provides detailed guidance on four key themes: client categorization, information obligations to clients, conclusion of agreements, and best execution. It references specific articles from the French Monetary and Financial Code and EU Delegated Regulation 2017/565 to ensure regulatory compliance.
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III - Providers
III. 1 - Investment Service Providers
III. 1.3. Good Conduct Rules
Doctrine
Organizational Rules
Questions and Answers on Good Conduct Rules Applicable to Investment Service Providers
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Applicable as of January 1, 2023
Position - Recommendation DOC-2007-25
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Summary
This position aims to answer questions that professionals may have regarding the good conduct rules applicable to Investment Service Providers (ISPs). In this context, clarifications are provided on four themes, namely client categorization, the information owed to them, the agreements to be concluded, as well as best execution.
Download the doctrine
Reference texts
Article L. 533-16 of the Monetary and Financial Code
Article L. 533-20 of the Monetary and Financial Code
Articles D. 533-4 to D. 533-14 of the Monetary and Financial Code
Article D. 533-15 of the Monetary and Financial Code
Articles 3, 58 and 59 of Delegated Regulation (EU) 2017/565
Article 314-11 of the General Regulation
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This position aims to answer questions that professionals may have regarding the good conduct rules applicable to Investment Service Providers (ISPs). In this context, clarifications are provided on four themes, namely client categorization, the information owed to them, the agreements to be concluded, as well as best execution.
Download the doctrine
Reference texts
Article L. 533-16 of the Monetary and Financial Code
Article L. 533-20 of the Monetary and Financial Code
Articles D. 533-4 to D. 533-14 of the Monetary and Financial Code
Article D. 533-15 of the Monetary and Financial Code
Articles 3, 58 and 59 of Delegated Regulation (EU) 2017/565
Article 314-11 of the General Regulation
This position aims to answer questions that professionals may have regarding the good conduct rules applicable to Investment Service Providers (ISPs). In this context, clarifications are provided on four themes, namely client categorization, the information owed to them, the agreements to be concluded, as well as best execution.
Download the doctrine
Reference texts
Article 314-11 of the General Regulation
Article L. 533-16 of the Monetary and Financial Code
Article L. 533-20 of the Monetary and Financial Code
Articles D. 533-4 to D. 533-14 of the Monetary and Financial Code
Article D. 533-15 of the Monetary and Financial Code
Articles 3, 58 and 59 of Delegated Regulation (EU) 2017/565
Keywords
Investment Services
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Publisher: The Director of the Communication Department of the AMF. Contact: Communication Department, Autorité des marchés financiers - 17, place de la Bourse - 75082 Paris Cedex 02
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