- Understand PSI obligations towards their clients
- Apprehend the legal and regulatory framework for direct selling
- Understand the MiFID issues
- Regulatory framework and interventions of the AMF
- MiFID issues
- Revision projects of the MiFID: which legal and regulatory framework can we expect?
Case Study: Analysis of the MiFID impacts on an ISP
Know your customer
- Entering into a relationship
- Adequacy tests and appropriateness
Case Study: Analysis of a client profile (KYC)
Act in the interest of the client
- Information given to the client
- “Best execution” and “best selection”
- The processing of claims
Case Study: An example of “best execution”: what client information can we communicate, save and keep a record?
Direct selling of banking and financial products
- Legal and regulatory framework
- What is the direct selling?
- Who can have the authorization?
- The direct seller obligations
- The rights of the potential client
- Providing financial services remotely
- Penalties applicable
Case Study: example of a direct selling process, what is authorized and what is not.
The program is compatible with the knowledge required by the AMF to receive the professional Certification.
Clement is an attorney with the law firm Gide Loyrette Nouel. He intervenes in the negotiation of agreements for financial futures including on FBF and ISDA, on operations of credit derivatives, on litigation related to derivatives and more generally on post-market issues and on the rules governing the organisation of banking or financial actors.
Clément Saudo also teaches :
- Approche juridique des Credit Default Swaps (Catalogue Finance)
- Carbon Finance (Catalogue English)
- Documentation des opérations de prêts de titres et des pensions livrées (Catalogue Finance)
- Droit des produits dérivés (Catalogue Finance)
- KYC, Best Execution et obligations règlementaires (Catalogue Finance)
- L’actualité règlementaire des marchés financiers (Catalogue Finance)
- La conformité pour les juristes (Catalogue Finance)
- Legal Approach of Credit Default Swaps (Catalogue English)
- Legal aspects of carbon trading (Catalogue English)
- The Rights of Derivative Products (Catalogue English)