Knowledge Base
Regulatory and Ethical Environment
Regulatory and ethical framework governing financial activities in France and Europe. Covers compliance obligations, professional ethics, and client relationships.
Sub-themes
Client Relations
Obligations of financial professionals in their dealings with clients. Covers KYC, product suitability, complaints handling, and investor protection.
Marketing of Financial Instruments, Solicitation, Distance Selling, and Client Advisory
Rules governing the marketing of financial products and services to clients. Covers canvassing, distance selling, duty of advice, and disclosure obligations.
Market Abuse Regulation
Regulatory framework for preventing and prosecuting market abuse. Covers insider dealing, market manipulation, and dissemination of false or misleading information.
Financial Security: AML/CFT, Anti-Corruption, and Sanctions
AML/CFT frameworks, anti-corruption measures, and international sanctions compliance. Covers due diligence obligations, suspicious transaction reporting, and applicable penalties.
Ethics, Compliance, and Ethical Organization of Institutions
Professional ethics principles and compliance frameworks within financial institutions. Covers codes of conduct, conflict of interest prevention, and the organization of the compliance function.
French, European, and International Institutional and Regulatory Framework
Institutional architecture and regulatory framework governing financial markets at the French, European, and international levels. Includes supervisory authorities and key applicable directives.