Knowledge Base

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Questions

Which article of the Code monétaire et financier establishes organisational obligations and conflict of interest management for investment service providers?

L. 533-1
L. 533-10
L. 533-11
L. 533-12

Which article of the AMF General Regulation requires an alert when portfolio losses exceed -10%?

314-58
314-61
314-97
314-75

What is the maximum percentage recommended by the AMF for performance fees under a discretionary management mandate?

20%
25%
30%
40%

What are the three defining criteria of a discretionary management mandate according to Article D. 321-1 of the Code monétaire et financier?

Discretionary nature, individualised nature, existence of a contractual framework
Discretionary nature, existence of a contractual framework, cost transparency
Individualised nature, cost transparency, mandate duration
Cost transparency, mandate duration, existence of a contractual framework

The SFDR regulation now integrates sustainability preferences into the suitability assessment.

True
False

The MiFID II directive requires an alert when portfolio losses exceed -10%.

True
False

Categorize items by dragging them to the appropriate zones

Items to categorize:

Management objectives
Types of authorised financial instruments
Terms for informing the principal
Duration of the mandate
Renewal and termination conditions
Client's dietary preferences
Categories:

Mandatory provisions

Non-mandatory provisions

Legal definition of a management mandate (Article D. 321-1)

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