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Organization of Portfolio Management Companies and Investment Service Providers Exercising Portfolio Management for Third Parties Regarding Financial Instrument Valuation
The AMF outlines general organizational provisions for portfolio management companies and investment service providers regarding the valuation of financial instruments. The document specifies requirements for model usage within valuation procedures, including model validation and valuation control. It notes that the text has not yet been updated to reflect MIF 2 transposition and the separation of legal regimes for investment firms and portfolio management companies.
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III - Service Providers
III. 1 - Investment Service Providers
III. 1.2. Organizational Rules
Doctrine
Organizational Rules
Organization of Portfolio Management Companies and Investment Service Providers Exercising Portfolio Management for Third Parties Regarding Financial Instrument Valuation
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Applicable as of December 30, 2008 Instruction DOC-2008-06
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Summary
The AMF presents the general provisions regarding the organization of Portfolio Management Companies (SGP) and Investment Service Providers (PSI) exercising portfolio management services for third parties concerning the valuation of financial instruments. Clarifications are also provided on the use of a model within the framework of valuation procedures (model validation, valuation control). This document has not been updated with regard to texts transposing MIF 2 and separating the legal regime of investment companies and portfolio management companies. This update will be carried out shortly.
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Reference texts
Article L.533-10-1 of the Monetary and Financial Code
Article 311-1 of the General Regulation
Article 311-8 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
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