Become a financial investment advisor (FIA/CIF)
You want to advise investors on how to invest their savings? You are considering offering financial investment advice?
You think that you are not concerned by this regulation but you are not sure about the nature of the activities you carry out?
Holder of the AMF certification and with 10 years of experience within the Autorité des marchés financiers,Anne RAOUL-TARDIEU has a thorough knowledge of how the AMF operates and can assist you in the regulatory compliance of your activity.
Our firm assists you in the regulatory compliance of your registration file as a financial investment advisor, according to the typology of your activity. We also assist you in the analysis of the nature of your activities, in order to determine whether these activities are concerned by the regime of financial investment advisors or fall outside the scope of this regime.
When is a financial investment advisor (FIA) considered?
A financial investment advisor (FIA) is a professional authorized to provide advice to clients on the investment of their savings.
Advice that FIAs are authorized to provide as a regular profession includes :
– investment advice on financial instruments (shares, debt securities, UCITS, derivatives). FIAs are also authorized to provide the service of reception-transmission of orders, under the following conditions:
o to have provided the client with prior advice on the financial instruments whose order is transmitted for execution
o that the financial instruments on which the advice was given are units or shares of undertakings for collective investment (UCI)
– advice on the provision of investment services (referral to a service provider authorized to provide such services, such as execution of orders for financial instruments, portfolio management of financial instruments). Apart from providing financial advice, FIAs are not authorized to perform themselves the investment services they advise (such as the reception-transmission of orders for shares). Authorized to provide advice on asset management service on an ancillary basis, FIAs are not authorized to manage portfolios of financial instruments, since this investment service can only be provided by investment services providers duly authorized to provide this activity.
– advice on the execution of transactions in miscellaneous goods (referral to a provider registered as an intermediary in miscellaneous goods)..
Services offered
Our interventions
- Legal advice related to the activity of financial investment advisor
- Constitution of the registration file with the ORIAS register
- Drafting of procedures and policies
- AMF inspections or inspections by an approved professional association
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