The European Directive on Markets in Financial Instruments (MiFID) establishes a global regulatory framework for order execution designed to allow competition in Europe between the various trading venues: regulated markets, multilateral trading facilities and order execution by investment services providers, notably through systematic internalisation, i.e. the interposition of the ISP between its clients who are buying and selling a financial instrument, thus managing an “internal” market for the provider.
MiFID therefore aims to:
– introduce competition between order execution venues
– harmonise the conditions for offering investment services
– facilitate the exercise of the European passport for providers.
It concerns financial instruments and defines new obligations in terms of :
– conduct of business and best execution rules
– rules on valuation and information for investor clients
– respect for market integrity, transaction reporting and record keeping;
– organisational principles to avoid conflicts of interest
– post-trade transparency.
La Française provides its clients with its Best Selection and Conflict of Interest Management policies, which meet these regulatory obligations.
The regulatory information presented below refers to New Alpha Asset Management.
Charter on Corporate Social Responsibility
To consult New Alpha Asset Management’s Corporate Social Responsibility Charter, click here.
Sustainability Risk Policy (“SFDR”)
To consult the Sustainability Risk Policy, click here
Conflict of Interest Management Policy
To view New Alpha Asset Management’s Conflict of Interest Policy, click here.
Policy for handling customer enquiries or complaints
To view New Alpha Asset Management’s policy on handling client enquiries or complaints, click here.
Selection procedure and evaluation of financial intermediaries
To access the procedure for the selection and evaluation of financial intermediaries, click here.
To view New Alpha Asset Management’s Exclusion Policy, click here.
Voting Rights Policy
To view New Alpha Asset Management’s voting rights policy, click here.
To view New Alpha Asset Management’s remuneration policy, click here.
Remuneration of distributors
In accordance with article 314-76 of the AMF’s general regulations, the client may receive, upon request, details of the remuneration relating to the marketing of the product from his advisor.
New Alpha Asset Management
Simplified joint stock company with a capital of 2 483 720 euros – RCS Paris 450 500 012 – VAT N° : FR 18450500012
Date of creation : 21/10/2003
Approval : GP-05000001, 20/01/2005
The AMF approval can be consulted here.