DOC-2014-01 Programme of Activity of Investment Service Providers and AMF Information

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III - Providers
III. 1 - Investment service providers
III. 1.1. Approval / Programme of activity / Passport
Doctrine
Organization Rules

Programme of activity of investment service providers and AMF information

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Applicable as of May 16, 2023
Instruction DOC-2014-01

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Summary
Instruction DOC-2014-01 specifies for investment service providers other than portfolio management companies the conditions for the AMF to process requests for approval of their programme of activity. The instruction also includes the procedure for requests by ISPs for approval or registration as a reference index administrator and authorization to provide one or more data communication services.

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Reference texts

Article 311-2 of the General Regulation

Article 311-3 of the General Regulation

Article 312-2 of the General Regulation

Forms and declarations relating to ISPs other than SGP: Annex 1 of AMF Instruction DOC-2014-01

ISP approval forms (ACPR website)
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Instruction DOC-2014-01 specifies for investment service providers other than portfolio management companies the conditions for the AMF to process requests for approval of their programme of activity. The instruction also includes the procedure for requests by ISPs for approval or registration as a reference index administrator and authorization to provide one or more data communication services.

Download the doctrine
Reference texts

Articles 311-2, 311-3, 312-1 and 312-2 of the AMF General Regulation

Forms and declarations relating to ISPs other than SGP: Annex 1 of AMF Instruction DOC-2014-01

ISP approval forms (ACPR website)

Investment service providers other than portfolio management companies

Instruction DOC-2014-01 specifies for investment service providers other than portfolio management companies the conditions for processing their programme of activity and certain of their obligations (notably regarding the compliance function and personal transactions). The instruction sets the gross amount of a significant transaction within the framework of client categorization and details passport notification procedures. This document has not been updated with regard to texts transposing MiFID 2 and/or separating the legal regime of investment firms and portfolio management companies. This update will be carried out shortly.

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Reference texts

Articles 311-8 to 311-12, 313-1 to 313-53-7, 314-1 to 314-76, 314-79 to 314-97, 314-105 and 315-1 to 315-49 of the AMF General Regulation

ISP approval forms (ACPR website)

Investment service providers other than portfolio management companies

Forms and declarations relating to ISPs other than SGP: Annexes 1 and 2 of AMF Instruction DOC-2014-01

Instruction DOC-2014-01 specifies for investment service providers other than portfolio management companies the conditions for processing their programme of activity and certain of their obligations (notably regarding the compliance function and personal transactions). The instruction sets the gross amount of a significant transaction within the framework of client categorization and details passport notification procedures.

Download the doctrine
Reference texts

Articles 311-8 to 311-12, 313-1 to 313-53-7, 314-1 to 314-76, 314-79 to 314-97, 314-105 and 315-1 to 315-49 of the AMF General Regulation

Investment service providers other than portfolio management companies

ISP approval forms (ACPR website)

Forms and declarations relating to ISPs other than SGP: Annexes 1 and 2 of AMF Instruction No. 2014-01 Keywords

Asset Management
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