DOC-2017-06 Registration Procedure and Preparation of Information Document to be Filed with the AMF by Diversified Goods Intermediaries

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IV - Commercialization - Customer Relationship
IV. 2 - Specific provisions for certain products
Doctrine
Diversified Goods

Registration Procedure and Preparation of an Information Document to be Filed with the AMF by Diversified Goods Intermediaries

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Applicable as of March 11, 2020
Instruction DOC-2017-06

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Summary
Instruction DOC-2017-06 details the rules regarding the preparation and registration of information documents to be filed with the AMF by diversified goods intermediaries. Clarifications are provided, in particular, regarding the guarantees that intermediaries must justify for the registration of an information document, the content of said document, as well as the information methods to which they are subject vis-à-vis investors and the AMF. This new version takes into account, on the one hand, the renumbering of the provisions of the Monetary and Financial Code concerning diversified goods intermediaries carried out by the Pacte Law, and on the other hand, the evolution of rights and contributions due by diversified goods intermediaries since 2019.

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Reference texts

Articles 441-1 to 441-3 of the AMF General Regulation

Annex 1 - Information sheet to be provided by participants in a diversified goods operation

Annex 2 - Standard plan for the information note

Annex 3 - Summary of the obligations of each diversified goods intermediary
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Instruction DOC-2017-06 details the rules regarding the preparation and registration of information documents to be filed with the AMF by diversified goods intermediaries. Clarifications are provided, in particular, regarding the guarantees that intermediaries must justify for the registration of an information document, the content of said document, as well as the information methods to which they are subject vis-à-vis investors and the AMF.

Download the doctrine

Download the full preview of the doctrine
Reference texts

Articles 441-1 to 441-3 of the AMF General Regulation

Information sheet to be provided by participants in a diversified goods operation - Annex 1 of Instruction DOC-2017-06

Standard plan for the information note - Annex 2 of Instruction DOC-2017-06

Summary of the obligations of each diversified goods intermediary - Annex 3 of Instruction DOC-2017-06

Instruction DOC-2017-06 details the rules regarding the preparation and registration of information documents to be filed with the AMF by diversified goods intermediaries. Clarifications are provided, in particular, regarding the guarantees that intermediaries must justify for the registration of an information document, the content of said document, as well as the information methods to which they are subject vis-à-vis investors and the AMF.

Download the doctrine

Download the full preview of the doctrine
Reference texts

Articles 441-1 to 441-3 of the AMF General Regulation

Information sheet to be provided by participants in a diversified goods operation - Annex 1 of Instruction DOC-2017-06

Standard plan for the information note - Annex 2 of Instruction DOC-2017-06

Summary of the obligations of each diversified goods intermediary - Annex 3 of Instruction DOC-2017-06 Legal notices:
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