Guide for Drafting Advertising Communications and Marketing Collective Investments and SOFICA

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II - Investment Products
II. 1 - Collective Investments
II. 1.1. Provisions common to UCITS and AIFs

Doctrine
Commercialisation

Guide for Drafting Advertising Communications and Marketing Collective Investments and SOFICA

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Applicable as of February 16, 2023
Position - Recommendation DOC-2011-24

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Summary
Guide DOC-2011-24 illustrates the behaviors to follow and the bad practices to avoid for drafting commercial documents and marketing collective investments (general principles, communication on financial and strategy indices, etc.). These provisions are applied to structured collective investments, "index" collective investments, collective investments implementing "cushion management" type strategies, SOFICA, SCPI, and private equity funds.

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Reference texts

Article L. 533-12 of the Monetary and Financial Code

Article L. 533-22-2-1 of the Monetary and Financial Code

Article L. 541-8-1 of the Monetary and Financial Code

Article 325-12 of the General Regulation

Article 411-126 of the General Regulation

Article 421-25 of the General Regulation

Article 4 of Regulation (EU) 2019/1156 of the European Parliament and of the Council of 20 June 2019

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Guide DOC-2011-24 illustrates the behaviors to follow and the bad practices to avoid for drafting commercial documents and marketing collective investments (general principles, communication on financial and strategy indices, etc.). These provisions are applied to structured collective investments, "index" collective investments, collective investments implementing "cushion management" type strategies, SOFICA, SCPI, and private equity funds.

Download the doctrine
Reference texts

Article L. 533-12 of the Monetary and Financial Code

Article L. 533-22-2-1 of the Monetary and Financial Code

Article L. 541-8-1 of the Monetary and Financial Code

Article 325-12 of the General Regulation

Article 411-126 of the General Regulation

Article 421-25 of the General Regulation

Article 4 of Regulation (EU) 2019/1156 of the European Parliament and of the Council of 20 June 2019

Guide DOC-2011-24 illustrates the behaviors to follow and the bad practices to avoid for drafting commercial documents and marketing collective investments (general principles, communication on financial and strategy indices, etc.). These provisions are applied to structured collective investments, "index" collective investments, collective investments implementing "cushion management" type strategies, SOFICA, SCPI, and private equity funds.

Download the doctrine
Reference texts

Article L. 533-12 of the Monetary and Financial Code

article L. 533-22-2-1 of the Monetary and Financial Code

Article L. 541-8-1 of the Monetary and Financial Code

Article 411-126 of the General Regulation

Article 421-25 of the General Regulation

Guide DOC-2011-24 illustrates the behaviors to follow and the bad practices to avoid for drafting commercial documents and marketing collective investments (general principles, communication on financial and strategy indices, etc.). These provisions are applied to structured collective investments, "index" collective investments, collective investments implementing "cushion management" type strategies, SOFICA, SCPI, and private equity funds.

Download the doctrine
Reference texts

Article L. 533-12 of the Monetary and Financial Code

Article L.533-22-2-1 of the Monetary and Financial Code

Article L.541-8-1 of the Monetary and Financial Code

Article 411-126 of the General Regulation

Article 421-25 of the General Regulation

Guide DOC-2011-24 illustrates the behaviors to follow and the bad practices to avoid for drafting commercial documents and marketing collective investments (general principles, communication on financial and strategy indices, etc.). These provisions are applied to structured collective investments, "index" collective investments, collective investments implementing "cushion management" type strategies, SOFICA, SCPI, and private equity funds.

Download the doctrine
Reference texts

Article L. 533-12 of the Monetary and Financial Code

Article L.533-22-2-2 of the Monetary and Financial Code

Article L.541-8-1 of the Monetary and Financial Code

Guide DOC-2011-24 illustrates the behaviors to follow and the bad practices to avoid for drafting commercial documents and marketing collective investments (general principles, communication on financial and strategy indices, etc.). These provisions are applied to structured collective investments, "index" collective investments, collective investments implementing "cushion management" type strategies, SOFICA, SCPI, and private equity funds. This document has not been updated regarding 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 of the AMF General Regulation

Article 319-5 of the AMF General Regulation

Guide DOC-2011-24 illustrates the behaviors to follow and the bad practices to avoid for drafting commercial documents and marketing collective investments (general principles, communication on financial and strategy indices, etc.). These provisions are applied to structured collective investments, "index" collective investments, collective investments implementing "cushion management" type strategies, SOFICA, SCPI, and private equity funds. This document has not been updated regarding 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 of the AMF General Regulation

Article 319-5 of the AMF General Regulation

Guide DOC-2011-24 illustrates the behaviors to follow and the bad practices to avoid for drafting commercial documents and marketing collective investments (general principles, communication on financial and strategy indices, etc.). These provisions are applied to structured collective investments, "index" collective investments, collective investments implementing "cushion management" type strategies, SOFICA, SCPI, and private equity funds.

Download the doctrine
Reference texts

Article L.533-12 of the Monetary and Financial Code

Articles 314-10 to 314-17 of the AMF General Regulation

Article 319-5 of the AMF General Regulation

Guide DOC-2011-24 illustrates the behaviors to follow and the bad practices to avoid for drafting commercial documents and marketing collective investments (general principles, communication on financial and strategy indices, etc.). These provisions are applied to structured collective investments, "index" collective investments, collective investments implementing "cushion management" type strategies, SOFICA, SCPI, and private equity funds.

Download the doctrine
Reference texts

Article L.533-12 of the Monetary and Financial Code

Articles 314-10 to 314-17 of the General Regulation

Article 319-5 of the General Regulation

Guide DOC-2011-24 illustrates the behaviors to follow and the bad practices to avoid for drafting commercial documents and marketing collective investments (general principles, communication on financial and strategy indices, etc.). These provisions are applied to structured collective investments, "index" collective investments, collective investments implementing "cushion management" type strategies, SOFICA, SCPI, and private equity funds.

Download the doctrine
Reference texts

Article L.533-12 of the Monetary and Financial Code

Articles 314-10 to 314-17 of the General Regulation

Article 319-5 of the General Regulation

Guide DOC-2011-24 illustrates the behaviors to follow and the bad practices to avoid for drafting commercial documents and marketing collective investments (general principles, communication on financial and strategy indices, etc.). These provisions are applied to structured collective investments, "index" collective investments, collective investments implementing "cushion management" type strategies, SOFICA, SCPI, and private equity funds.

Download the doctrine
Reference texts

Article L.533-12 of the Monetary and Financial Code

Articles 314-10 to 314-17 of the General Regulation

Article 319-5 of the General Regulation

Guide DOC-2011-24 illustrates the behaviors to follow and the bad practices to avoid for drafting commercial documents and marketing collective investments (general principles, communication on financial and strategy indices, etc.). These provisions are applied to structured collective investments, "index" collective investments, collective investments implementing "cushion management" type strategies, SOFICA, SCPI, and private equity funds.

Download the doctrine
Reference texts

Article L.533-12 of the Monetary and Financial Code

Articles 314-10 to 314-17 of the General Regulation

Article 319-5 of the General Regulation

Guide DOC-2011-24 illustrates the behaviors to follow and the bad practices to avoid for drafting commercial documents and marketing collective investments (general principles, communication on financial and strategy indices, etc.). These provisions are applied to structured collective investments, "index" collective investments, collective investments implementing "cushion management" type strategies, SOFICA, SCPI, and private equity funds.

Download the doctrine
Reference texts

Article L.533-12 of the Monetary and Financial Code

Articles 314-10 to 314-17 of the General Regulation

Article 319-5 of the General Regulation

This guide illustrates the behaviors to follow and the bad practices to avoid for drafting commercial documents and marketing collective investments (general principles, communication on financial and strategy indices, etc.). These provisions are applied to structured UCITS, "index" UCITS, funds implementing "cushion management" type strategies, SOFICA, SCPI, and approved private equity UCITS.

Download the doctrine
Reference texts

Article L.533-12 of the Monetary and Financial Code

Articles 314-10 to 314-17 of the General Regulation

Download the doctrine
Keywords

Collective Investments
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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