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Policy IV - Marketing - Customer relationship Position/Recommendation supplementing Position 2013-02 on collecting know-your-client information

Segment information

Position - Recommendation DOC-2017-08

Relevant on January 3, 2018

Reference texts

Abstract

The AMF is supplementing its Position DOC-2013-02 on collecting know-your client information in a Position/Recommendation dedicated to the risks brought about by the digitisation of relationships between the service provider and its client for the provision of investment services.

DOC-2013-02 - Collecting know-your-client information

Regulation > Policy > Policy principles

In order to give suitable advice when marketing financial instruments, professionals must enquire about the client’s requirements and needs, his financial situation and his objectives, and about his knowledge and experience in financial matters. Clarifications are therefore given about the methods for collecting information, its traceability, the quality of its content, its use, and the resources and procedures to be implemented.

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Table des matières de la doctrine

Legal information
Head of publications: Florence Gaubert, Executive Director of AMF Communication Directorate.
Contact: Communication Directorate – Autorité des marches financiers 17 place de la Bourse – 75082 Paris cedex 02