Regulations

AFTPM

Finalpha is Member of the AFTPM (French Association of Third Party Marketers) TPM®
TPM® is a registred trademark in France

3PM

The Third Party Marketers Association (3PM) was formed to maintain a standard of excellence in the industry and to share information and ideas among independent sales and marketing firms.

3PM also serves to guide investment managers in understanding the role of third party marketers as partners in raising assets under management and in identifying companies to work with.

ANACOFI

Finalpha is a member of ANACOFI : Association Nationale des Conseillers Financiers Indépendants (register number : E002640).
ANACOFI is the French leading association of Independent Financial Advisors and acts under the authority and control of the Autorité des Marchés Financiers (AMF).

What does it mean exactly under French rules ?

The AMF has delegated to Anacofi the functions of registry, training and control of the French Financial Advisers (Conseiller en Investissement Financier).

Therefore, being registered in Anacofi :

Finalpha has to to fullfill a minimum amount of time to training every year ; and Anacofi controls the consistency and the duration of training programs we follow:

        • Finalpha is controlled by Anacofi controllers.
        • In the specific case of control, the AMF can also control directly any Financial Advisers, so in Finalpha’s case, they can control Finalpha.

ANACOFI

Finalpha is a member of ANACOFI : Association Nationale des Conseillers Financiers Indépendants (register number : E002640).
ANACOFI is the French leading association of Independent Financial Advisors and acts under the authority and control of the Autorité des Marchés Financiers (AMF).

What does it mean exactly under French rules ?

The AMF has delegated to Anacofi the functions of registry, training and control of the French Financial Advisers (Conseiller en Investissement Financier).

Therefore, being registered in Anacofi :

Finalpha has to to fullfill a minimum amount of time to training every year ; and Anacofi controls the consistency and the duration of training programs we follow:

        • Finalpha is controlled by Anacofi controllers.
        • In the specific case of control, the AMF can also control directly any Financial Advisers, so in Finalpha’s case, they can control Finalpha.

ORIAS

Finalpha is registered at ORIAS, the Registre Unique des Intermédiaires en Assurance, Banque et Finance (register number 13000627) orias.fr/web/guest/intermediaryDetails

E&O INSURANCE

Professional Liabilityinsurance coverage (E&O) : FP2400398-0019 – April Finance & Patrimoine

RCP INSURANCE

RCP Insurance #127107914 with MMA IARD Assurances Mutuelles.