Obtaining an investment service provider (ISP) license
You are planning to provide or exercise investment services in France and would like to be advised on the authorization of an investment service provider? You are already authorized and your request concerns an extension of your authorization?
Holder of the AMF certification and a certificate on anti-money laundering (LCB-FT), with 10 years of experience within the Autorité des marchés financiers (AMF), ,in charge of post-Brexit investment services providers approvals , Anne RAOUL-TARDIEU assists you in the regulatory compliance of your activity.
Our firm assists you in all the steps necessary to obtain the approval or the extension of its approval, from the beginning of your application until its completion, by elaborating a documentation adapted to your business model and by advising you throughout the process.
Who is concerned by the status of an investment service provider (ISP)?
L’exercice ou la fourniture en France des services d’investissement définis à l’article D. 321-1 du code monétaire et financier requiert l’obtention préalable d’un agrément. On trouve parmi ces services, la réception et la transmission d’ordres pour compte de tiers, la gestion de portefeuille pour le compte de tiers, l’exécution d’ordres pour le compte de tiers, le conseil en investissement.
Selon les activités envisagées, les prestataires de services d’investissement peuvent exercer sous trois statuts distincts : entreprise d’investissement, établissement de crédit ou société de gestion de portefeuille (SGP). A l’exception des SGP soumises à la seule approbation de l’AMF, les agréments sont délivrés par l’Autorité de contrôle prudentiel et de résolution (ACPR), après approbation du programme d’activité par l’AMF.
As an intermediary between its client and the financial market, the licensed firm is subject to a set of obligations including compliance with rules of good conduct and organization.
The Brexit and the digitalization of the financial sector have changed the way investment service providers operate, in an increasingly competitive context where it is necessary to be accompanied and advised to obtain an authorization in conditions of optimal speed and legal security.
Drafting of contracts for the marketing of financial instruments
Dans le cadre d’un contrat de commercialisation d’instruments financiers, un ou plusieurs services d’investissement sont en général réalisés (conseil en investissement, réception et transmission d’ordres pour le compte de tiers, exécution d’ordres pour le compte de tiers , …).
Vous envisagez de commercialiser des instruments financiers en France et vous souhaitez la mise en place d’un contrat avec vos distributeurs?
Our firm assists you in the drafting of contracts between you and your distributors.
General terms and conditions of sale of investment services
Vous envisagez de fournir des services financiers en France et souhaitez être accompagné dans la rédaction de vos conditions générales de vente ou d’utilisation? Vous souhaitez commercialiser des instruments financiers en France et vous souhaitez la mise en place d’un contrat avec vos distributeurs?
Our firm assists you in the drafting of contracts that bind you to your clients or users of your services or to your distributors, taking into account your sectoral obligations.
Services offered
Our interventions:
- Legal advice related to the provision of investment services
- Preparation of the accreditation file and support for the client in relation to the regulators during the accreditation process
- Drafting of procedures and policies necessary for the provision of investment services
- Drafting of the contractual engineering within the framework of the approval application or in the continuity of the proposed investment services
- AML/CFT system: risk mapping, risk classification, AML/CFT procedure, asset freezing procedure, permanent and periodic controls, outsourcing control
- Support in interactions with regulators
- Rédaction des contrats de commercialisation d’instruments financiers
- Drafting of general conditions / service contracts
- Rédaction des CGV/CGU de services d’investissement
English 
French