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Policy III - Providers Guide to the organisation of the risk management system within asset management companies

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Position - Recommendation DOC-2014-06

Relevant on June 20, 2017

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Abstract

The DOC-2014-06 recommendation details the expectations of the AMF for the operation and organisation of compliance, risk management, internal monitoring and periodic control functions within asset management companies (AMC). This guide specifies, notably, how different control functions should be structured and is aimed at AMCs that manage UCITS or AIFs and/or that provide a discretionary portfolio management service.

Guide to the organisation of the risk management system within asset management companies

Position , Recommendation DOC-2014-06 Applicable from August 1, 2014 to July 22, 2015

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Guide to the organisation of the risk management system within asset management companies

Position , Recommendation DOC-2014-06 Applicable from July 23, 2015 to June 19, 2017

The DOC-2014-06 recommendation details the expectations of the AMF for the operation and organisation of compliance, risk management, internal monitoring and periodic control functions within asset management companies (AMC). This guide specifies, notably, how different control functions should be structured and is aimed at AMCs that manage UCITS or AIFs and/or that provide a discretionary portfolio management service.

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Table des matières de la doctrine

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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