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Right to practice for enterprises

Enterprises must register and obtain a confirmation from the AMF to be authorized to pursue activities through certified representatives.

To carry on activities:

  • as a firm
  • as an independent partnership
  • as an independent representative

Firms and independent partnerships must obtain from AMF authorization to act through duly certified representatives. For this purpose, they must register with the AMF. Similarly, independent representatives who wish to act on their own behalf must register to confirm how they are carrying on business.

General conditions for registration

For a firm or an independent partnership, the right of practice is

The confirmation of its registration with the Autorité, or the authorization to act through duly certified representatives.

To carry on activities as a firm

A firm carries on activities through representatives certified. The firm may act in one or several sectors. A representative may be attached to his own firm and thus be its main shareholder and director.

To be authorized to carry on activities, the firm must send to the Autorité an Application for Registration, using the form:

To carry on activities as an independent partnership

An independent partnership is made up of representatives certified and grouped together under a general partnership. The representatives who are part of this partnership carry on their activities as employees or partners.

To be authorized to carry on activities, the procedure is the same as for the firm, that is, to send to the Autorité an Application for Registration, using the form:

Pursuing activities as an independent representative

Individuals may pursue activities as independent representatives in one or more sectors other than the securities sector. Independent representatives are not attached to a firm. They are also not partners or employees of an independent partnership.

To be licensed to practice as an independent representative, individuals must apply to the AMF using the following form:

Maintenance of registration

Unlike representatives'certificates, registration does not have any expiry date. It is valid for as long as it has not been cancelled, suspended or subjected to certain conditions.

However, registrants (independent representatives, firms, independent partnerships) must obligatorily maintain their registration every year, that is, they must send to the Autorité, using the maintenance of registration form, an update of the information already submitted. The purpose of the annual maintenance of registration is therefore to verify whether the independent representative, the firm or the independent partnership still meets the various conditions for registration.

For independent representatives, maintenance of registration takes place at the same time as the renewal of their representatives' certificates.