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DOC-2017-07 Simulations of Future Performance
The French Financial Markets Authority (AMF) issues Recommendation DOC-2017-07 to clarify legislative and regulatory obligations for investment service providers regarding the use of performance simulators. The document outlines specific requirements for investor information and the technical methodologies used to construct these future performance simulations. It explicitly notes that the text has not yet been updated to reflect the transposition of MiFID II and the resulting separation of legal regimes for investment firms and portfolio management companies.
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III - Service Providers
III. 1 - Investment Service Providers
III. 1.3. Good Conduct Rules
Doctrine
Periodic & Permanent Information
Simulations of Future Performance
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Applicable as of June 26, 2018
Recommendation DOC-2017-07
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Summary
Recommendation DOC-2017-07 recalls the legislative and regulatory provisions applicable to investment service providers, crowdfunding investment advisors, and financial investment advisors. It also formulates recommendations regarding investor information on performance simulators and the technical methods for developing these simulators.
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Reference texts
Article L533-12 of the Monetary and Financial Code
Article 44 of Delegated Regulation (EU) 2017/565 of the Commission of April 25, 2016
Article 325-12 of the General Regulation
Article 325-52 of the General Regulation
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Recommendation DOC-2017-07 recalls the legislative and regulatory provisions applicable to investment service providers, crowdfunding investment advisors, and financial investment advisors. It also formulates recommendations regarding investor information on performance simulators and the technical methods for developing these simulators. This document has not been updated with regard to 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 L. 533-12 of the Monetary and Financial Code
Articles 314-10 to 314-17, 319-5, 325-5 and 325-36 of the AMF General Regulation Keywords
MiFID
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
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“Article 44 of Delegated Regulation (EU) 2017/565 of the Commission of April 25, 2016”
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