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Regulation

Position limits for commodity derivatives traded on Powernext

Relevant on February 7, 2018

Position/Recommendation supplementing Position 2013-02 on collecting know-your-client information

Relevant on January 3, 2018

The AMF is supplementing its Position DOC-2013-02 on collecting know-your client information in a Position/Recommendation dedicated to the risks brought about by the digitisation of relationships between the service provider and its client for the provision of investment services.

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Position limits for commodity derivatives traded on Euronext

Relevant on January 3, 2018

Programme of activity, obligations incumbent on investment services providers, passport notification

Relevant on January 1, 2018

For investment services providers other than investment management companies, instruction DOC-2014-01 sets out the conditions in which their programme of activity is examined as well as some of the obligations incumbent on them, especially as regards the compliance function and personal trading. Concerning client categorisation, the instruction sets the gross amount of a significant transaction and also gives details of the passport notification procedure.

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Programme of operations guide for asset management companies and self-managed collective investments

Applicable from January 1, 2018 to January 30, 2018

The position-recommandation DOC-2012-19 outlines how to complete the sections of the autorization application (including the program of operations) and complementary sheets. In particular it provides specific instructions on the “four eyes” (quatre yeux) rule, access to (information on) the position of the market member, the credit analysis, delegation and outsourcing, the practice of cash pooling (centralised treasury management authorised provided that certain conditions are met) as well as on internal control procedures.

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Legal information
Head of publications: Florence Gaubert, Executive Director of AMF Communication Directorate.
Contact: Communication Directorate – Autorité des marches financiers 17 place de la Bourse – 75082 Paris cedex 02