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DOC-2020-04 Requirements Applicable to Professional Associations of Financial Investment Advisors
The French Financial Markets Authority (AMF) issued Instruction DOC-2020-04 to define the obligations of professional associations of financial investment advisors (CIF) regarding their regulatory compliance. The instruction specifies the conditions for exchanging professional secrecy information with the AMF, the procedures for modifying approval dossier elements, and the reporting requirements for association activities. It also mandates specific training topics for the continuing education of CIF members.
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IV - Commercialization - Customer Relationship
IV. 1 - General Provisions
Doctrine
Investment Advice
Requirements Applicable to Professional Associations of Financial Investment Advisors
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Applicable as of November 23, 2020 Instruction DOC-2020-04
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Summary
Instruction DOC-2020-04 clarifies the conditions that the person in charge, within a professional association of financial investment advisors (CIF), must satisfy regarding the exchange of information covered by professional secrecy with the AMF, modifications concerning the characteristic elements of CIF association approval dossiers subject to prior approval or simple information to the AMF, the information to be provided to the AMF regarding their activity, and the topics that must at least be addressed during training for the updating of CIF knowledge.
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Reference texts
Article 325-36 of the General Regulation
Article 325-37 of the General Regulation
Article 325-38 of the General Regulation
Article 325-40 of the General Regulation
Article 325-42 of the General Regulation
Article 325-43 of the General Regulation
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Instruction DOC-2020-04 clarifies the conditions that the person in charge, within a professional association of financial investment advisors (CIF), must satisfy regarding the exchange of information covered by professional secrecy with the AMF, modifications concerning the characteristic elements of CIF association approval dossiers subject to prior approval or simple information to the AMF, the information to be provided to the AMF regarding their activity, and the topics that must at least be addressed during training for the updating of CIF knowledge.
Download the doctrine
Reference texts
Article 325-36 of the General Regulation
Article 325-37 of the General Regulation
Article 325-38 of the General Regulation
Article 325-40 of the General Regulation
Article 325-42 of the General Regulation
Article 325-43 of the General Regulation
Keywords
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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
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