DOC-2008-23 Q&A on the notion of investment advice service

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III - Service Providers
III. 1 - Investment Service Providers
III. 1.1. Authorization / Activity Program / Passport
Doctrine
Investment Services

Q&A on the notion of investment advice service

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Applicable as of February 13, 2024
Position DOC-2008-23

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Summary
Position DOC-2008-23 provides clarification on the criteria for defining the investment advice service.

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Reference texts

Article D.321-1 of the Monetary and Financial Code

Article 9 of Delegated Regulation (EU) 2017/565 of the Commission of April 25, 2016

Q&A regarding the regime applicable to financial investment advisors Archives

Position DOC-2008-23 provides clarification on the criteria for defining the investment advice service.

Download the doctrine
Reference texts

Article D.321-1 of the Monetary and Financial Code

Article 9 of Delegated Regulation (EU) 2017/565 of the Commission of April 25, 2016

Q&A regarding the regime applicable to financial investment advisors

Position-recommendation DOC-2008-23 provides clarification on the criteria for defining the investment advice service as well as on the diligence and obligations of the investment service provider regarding the provision of said service. This document has not been updated with regard to texts transposing MiFID II and separating the legal regime of investment firms and portfolio management companies. This update will be carried out shortly.

Download the doctrine
Reference texts

Article D.321-1 of the Monetary and Financial Code

Articles 314-43 to 314-47 of the General Regulation

Q&A regarding the regime applicable to financial investment advisors

The present Q&A provide clarification on the criteria for defining the investment advice service as well as on the diligence and obligations of the investment service provider regarding the provision of said service.

Download the doctrine
Reference texts

Article D.321-1 of the Monetary and Financial Code

Articles 314-43 to 314-47 of the General Regulation

Q&A regarding the regime applicable to financial investment advisors Keywords

Investment Advice
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