Regulatory Alerts2007-01-01
Added · Updated
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.
Topics
Share