Alforis
Confidential document
2026

RFI/RFP Checklist

Due diligence questionnaire for asset managers

CompanyAlforis Finance SAS
Dateseptembre 2026
Version1.0

This document answers standard due diligence process questions (RFI/RFP) from asset managers wishing to mandate Alforis Finance as Third Party Marketer.

General Information

Company identification
Legal name
Alforis Finance SAS
Legal form
SAS (Simplified Joint Stock Company)
RCS Paris
943 007 229
Share capital
EUR 5,000
Date of incorporation
2023
Registered office
15 rue de la Bourse, 75002 Paris
Headcount
< 10
Website
www.alforis.fr

Governance

PositionNameExperience
CEOMichel Marques15+ years fund distribution
COO[To be completed]-
RCCI[To be completed]-

Ownership

Simple and transparent ownership structure.

No structural conflict of interest
Total independence from asset managers
No equity links with competing distributors

Compliance & Regulation

Regulatory framework

Registrations

AuthorityNumberStatus
AFTPMMemberActive

Policies in place

AML/CFT policy
KYC procedures
Conflict of interest management
Complaint handling
Data protection (GDPR)
Business continuity plan
Outsourcing policy
Remuneration policy

Control framework

A robust internal control framework is in place.

  • •First level controls by operational staff
  • •Second level controls by RCCI
  • •Annual external audit
  • •Up-to-date regulatory reporting

Commercial Process

Services and deliverables

Services offered

Prospecting and prospect qualification
Meeting organization and presentations
Investor due diligence support
Client relationship follow-up
Detailed activity reporting

Reporting

DeliverableFrequencyFormat
Activity reportMonthlyPDF
Sales pipelineMonthlyExcel
KPI reviewQuarterlyPresentation
Annual reviewAnnualMeeting

IT & Security

Technical infrastructure

Infrastructure

Hosting
Alforis Finance (France, EU)
CRM
Proprietary solution
Backups
Daily, 30-day retention
Encryption
AES-256 at rest, TLS 1.3 in transit

Security measures

Multi-factor authentication (MFA)
SSL/TLS certificates
Firewall and intrusion detection
Complete audit logs
GDPR compliance
Incident management procedure

Business continuity

A business continuity plan (BCP) is in place to ensure operational resilience.

RTO (Recovery Time Objective): < 4 hours
RPO (Recovery Point Objective): < 24 hours
Annual recovery tests

Annexes

The following documents are available upon request.

DocumentAvailableFormat
Company registration extractYesPDF
Updated articles of associationYesPDF
Professional liability certificateYesPDF
ORIAS certificateYesPDF
GDPR policyYesPDF
AML/CFT policyYesPDF
Organization chartYesPDF
Annual accountsOn requestPDF

Document request

To obtain these documents, contact us at [email protected]

Completed by Alforis Finance

Date:
Name:

Stamp and signature

Alforis Finance
Third Party Marketing | France - Belgique - Luxembourg
[email protected]
www.alforis.fr
This document is the property of Alforis Finance SAS. Any reproduction or distribution, even partial, is prohibited without prior authorization. The information contained in this document is provided for informational purposes only and does not constitute investment advice.

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