DOC-2013-07 Professional Competence Requirements for AMF Financial Investment Advisors and Information Providers

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DOC-2013-07 Professional Competence Requirements for AMF Financial Investment Advisors and Information Providers regarding their activity

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Applicable as of May 5, 2020
Instruction DOC-2013-07

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Summary
Instruction DOC-2013-07 clarifies the competence rules that candidates for the status of CIF (Financial Investment Advisor) must satisfy (diploma, training, or professional experience) and the information to be provided to the AMF through the CIF associations.

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Reference texts

Article 325-1 of the General Regulation

Article 325-21 of the General Regulation
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Instruction DOC-2013-07 clarifies the competence rules that candidates for the status of CIF (diploma, training, or professional experience) must satisfy, the topics that must at least be covered during training for the updating of their knowledge, and the information to be provided to the AMF by the CIF associations.

Download the doctrine
Reference texts

Article 325-1 of the General Regulation

Article 325-21 of the General Regulation

Article 325-38 of the General Regulation

Article 325-42 of the General Regulation

Instruction DOC-2013-07 clarifies the competence rules that candidates for the status of CIF (diploma, training, or professional experience) must satisfy, the topics that must at least be covered during training for the updating of their knowledge, and the information to be provided to the AMF by the CIF associations. This document has not been updated regarding the 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 325-1 of the General Regulation

Article 325-11-1 of the General Regulation

Article 325-19 of the General Regulation

Article 325-23 of the General Regulation

Instruction DOC-2013-07 clarifies the competence rules that candidates for the status of CIF (diploma, training, or professional experience) must satisfy, the topics that must at least be covered during training for the updating of their knowledge, and the information to be provided to the AMF by the CIF associations.

Download the doctrine
Reference texts

Article 325-1 of the General Regulation

Article 325-19 of the General Regulation

Article 325-23 of the General Regulation
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Publisher: The Director of the AMF Communication Department. Contact: Communication Department, Autorité des marchés financiers - 17, place de la Bourse - 75082 Paris Cedex 02