What are the Legal Requirements for Marketing & Distribution of AMCs?

In the field of financial instruments, ensuring compliance with legal regulations is a necessity. One of the most frequent questions we receive at iMaps Capital Markets is: What are the legal requirements for marketing and distributing Actively Managed Certificates (AMCs)?

Here is what you need to know:

Our AMCs are classified as transferable securities, governed by the Prospectus Directive. This means when marketing your AMCs, you have two clear pathways:

1. Professional Investor Marketing: Focused exclusively on experienced, qualified investors.

2. Public Offering: Expanding to include retail investors, broadening market potential.

However, it’s essential to note that the distribution of AMCs across the European Union is regulated under the MiFID II Directive. As part of this framework, investors must purchase ETIs through a MiFID-licensed bank or broker.

Why is this important for you?

At iMaps, we streamline the process, giving you the flexibility to choose the distribution method that aligns with your goals - whether you’re targeting a niche audience or planning a wider retail offering. Our AMC structure ensures that regulatory obligations are met while providing you with the tools to scale your investment business efficiently.

PS: You can use the following links to easily book an e-meeting with us: https://meetings.hubspot.com/jeffrey-alldis (Jeffrey Alldis) or https://meetings.hubspot.com/herbert-hakala (Herbert Hakala)