Vendor Pack
KYC vendor file for asset managers
Legal Information
- Legal name
- Alforis Finance SAS
- Trade name
- Alforis
- Legal form
- SAS (Simplified Joint Stock Company)
- SIRET
- [To be completed]
- SIREN
- 943 007 229
- VAT number
- FR 159 430 072 29
- NAF code
- [To be completed]
- Share capital
- EUR 5,000
Address
- Registered office
- 15 rue de la Bourse
- Operational address
- 15 rue de la Bourse
- City
- 75002 Paris
- Country
- France
Governance & Organization
Directors
| Name | Position | Since |
|---|---|---|
| Michel Marques | President | 2023 |
| [To be completed] | General Manager | - |
Shareholders
| Shareholder | Ownership | Type |
|---|---|---|
| Michel Marques | [X]% | Individual |
| [Other shareholders] | [Y]% | - |
Organization
Light and agile organizational structure.
- Total headcount
- < 10
- Sales team
- 3
- Compliance
- 1 (RCCI)
- Operations/Tech
- 2
Internal Controls
Control framework
An internal control framework adapted to our size and activity.
- Daily operational controls
- Monthly RCCI review
- Semi-annual compliance audit
- Annual internal control report
Audits
| Audit type | Frequency | Last audit |
|---|---|---|
| Internal audit | Quarterly | [Date] |
| External audit | Annual | [Date] |
| Compliance audit | Semi-annual | [Date] |
Risk management
Risk mapping updated annually, covering operational, compliance, reputation and cyber risks.
Regulatory Documentation
Regulatory registrations
| Authority/Register | Number | Valid until |
|---|---|---|
| AFTPM | Member | Annual subscription |
Scope of activity
Alforis Finance carries out Third Party Marketing (TPM) activities on behalf of asset managers.
- Promotion and distribution of investment funds
- No investment advice
- No order reception-transmission
GDPR & Security
GDPR framework
- DPO
- Appointed
- DPO contact
- [email protected]
- Processing register
- Up to date
- Impact assessments (PIA)
- Performed when necessary
Security measures
Technical measures
- Data encryption (AES-256)
- Strong authentication (MFA)
- Encrypted daily backups
- Hosting in France (EU)
Organizational measures
- Documented security policy
- Employee training
- Role-based access management
- Incident management procedure
Breach notification
In case of data breach, notification to CNIL within 72h and to data subjects if high risk.
Professional Insurance
Professional Liability
- Insurer
- [Insurer name]
- Policy number
- [To be completed]
- Coverage amount
- EUR [X] per claim
- Valid until
- [Date]
Scope of coverage
The insurance policy covers:
- Professional negligence
- Errors and omissions
- Breach of contractual obligations
- Defense costs
An up-to-date insurance certificate is available upon request.
Bank Details
Confidential information
This information is strictly confidential and intended only for the asset manager's accounting/purchasing departments.
Bank details
- Bank
- [Bank name]
- Account holder
- Alforis Finance SAS
- IBAN
- [FRXX XXXX XXXX XXXX XXXX XXX]
- BIC/SWIFT
- [XXXXXXXX]
Payment terms
Standard payment conditions.
- Payment terms
- 30 days end of month
- Currency
- EUR
- Payment method
- Bank transfer
Certification
I certify that the information contained in this document is accurate and up to date.
Signature
Michel Marques
President - Alforis Finance SAS
Date
Paris, France
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