Regulatory AlertsDOC-2007-24 Questions and Answers Regarding Organizational Rules for Investment Service Providers
The French Financial Markets Authority (AMF) issued this document to clarify organizational rules for Investment Service Providers (ISPs) through a Q&A format. It provides specific guidance on four key areas: personal transactions, conflict of interest management, professional cards, and the recording and retention of data. The guidance is based on Article 315-4 of the General Regulation and relevant provisions of the Monetary and Financial Code and EU Delegated Regulation 2017/565.
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III - Providers III. 1 - Investment Service Providers III. 1.2. Organizational Rules Doctrine Organizational Rules
Questions and Answers Regarding Organizational Rules for Investment Service Providers
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Applicable as of December 17, 2020 Position - Recommendation DOC-2007-24
Download Viewed Version Summary This position-recommendation aims to answer questions that professionals may have regarding the organizational rules for ISPs. In this context, clarifications are provided on four themes, namely personal transactions, conflicts of interest, professional cards, as well as the recording and retention of data.
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Article 315-4 of the General Regulation
Article L. 533-10 of the Monetary and Financial Code
Articles 22, 28, 29, 33 of Delegated Regulation (EU) 2017/565 Archives
This position-recommendation aims to answer questions that professionals may have regarding the organizational rules for ISPs. In this context, clarifications are provided on four themes, namely personal transactions, conflicts of interest, professional cards, as well as the recording and retention of data.
Download the doctrine Reference texts
Article 313-2 of the General Regulation
Article 313-9 of the General Regulation
Article 313-11 of the General Regulation
Article 313-51 of the General Regulation 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