Which instruction specifies the requirements for periodic reviews of members by professional associations?
Instruction DOC-2019-05
Instruction DOC-2020-04
Instruction DOC-2021-01
Instruction DOC-2022-03
What is the compliance rate of professionals with opinions issued by the AMF mediator in 2024?
85%
90%
94%
99%
Categorize items by dragging them to the appropriate zones
Items to categorize:
Verification of membership application quality (Article L.541-4 II)
Annual submission of the activity report by 31 May (Article 325-42)
Compliance with conflict of interest rules
Categories:
Legal obligation (L)
Regulatory requirement (R)
Ethical rule (D)
Professional associations must notify the AMF of all changes to their authorisation file without exception.
True
False
Professional associations are required to handle disputes between retail clients and CIFs internally only.
True
False
Mandatory continuing education topics under DOC-2020-04
Click to see answer
According to the AMF decision of 5 September 2023, what was one of the failings found against ANACOFI-CIF?
Failure to verify the quality of membership applications
Excessive sanctions against members
Lack of transparency in annual reports
Delays in submitting activity reports
According to Article L.541-4 II of the CMF, what is one of the responsibilities of the professional association when reviewing the membership conditions of a CIF candidate?
Verify only the candidate's business plan
Assess the conditions of practice envisaged by the adviser
Approve the investments proposed by the candidate
Issue a definitive authorisation without verification