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Policy content
I - Issuers and financial disclosure
I. 1 - Periodic information
I. 1.1. Guide on periodic information
I. 1.2. Filing requirements
DOC-2013-08 Pro forma financial information
I. 1.3. Non Financial disclosure
I. 1.4. Alternative performance measures
I. 1.5. Accounting information
I. 1.5.1. Table of contents of the recommendations and financial statements of the current year
DOC-2020-09 2020 Financial statements and review of 2018-2019 financial statements
DOC-2018-06 Table des matieres recommandations d'arrêté des comptes applicables au 1er janvier 2018 (in French only)
I. 1.5.2. Previous year’s financial statements
DOC-2019-13 2019 Financial Statements and Review of 2017-2018 Financial Statements
DOC-2018-12 Annual report - 2018 financial statements and review of the 2016-2017 financial statements
DOC-2017-09 2017 Financial Statements
DOC-2016-09 2016 financial statements
DOC-2015-08 2015 Financial Statements
DOC-2014-13 Financial statements 2014
DOC-2013-19 Financial statements 2013
DOC-2012-16 Financial statements 2012
DOC-2011-16 Financial statements 2011
DOC-2010-12 Financial statements 2010
DOC-2009-28 Financial statements 2009
DOC-2008-22 Financial statements 2008
DOC-2007-23 Financial statements 2007
DOC-2006-22 Financial statements 2006
I. 1.5.3 Statutory auditors
DOC-2010-25 Relationships between statutory auditors and the AMF
I. 2 - Ongoing information
I. 2.1. Guide on ongoing information
DOC-2007-03 Electronical filing to the AMF of regulated information
I. 2.2. Filing requirements
I. 3 - Universal registration document
I. 3.1. Guide on universal registration document
I. 3.2. Filing requirements
I. 4 - Prospectus and information document for a public offering
I. 4.1. European prospectus
I. 4.1.1. Guide
I. 4.1.2. Filing requirements
I. 4.2. National prospectuses
I. 4.3. Key information document
DOC-2018-07 Informations à founir aux investisseurs dans le cadre d'une offre ouverte au public d'un montant inférieur à 8 millions d'euros
I. 4.4. Initial coin offering
DOC-2019-06 Procedure for examination of the application and establishment of an information document for approval by the AMF on an initial coin offering
I. 5 - Financial operations
I. 5.1. Guide
I. 5.2. Initial public offering
I. 5.3. Share buybacks
DOC-2017-03 Modalités de déclaration des opérations réalisées dans le cadre des interventions des émetteurs cotés sur leurs propres titres et des mesures de stabilisation
DOC-2017-04 Guide relatif aux interventions des émetteurs cotés sur leurs propres titres et aux mesures de stabilisation
I. 5.4. Transfer from a regulated market to a MTF
DOC-2010-03 AMF Q&A pertaining to the transfer of a listed company from Alternext to Euronext
I. 5.5. Major assets disposal and acquisition
DOC-2015-05 Major Asset Disposals and Acquisitions
I. 6 - Takeover bids
I. 6.1. General rules
DOC-2006-07 Takeover bids
DOC-2009-08 Takeover bids supervision
I. 6.2. Independent expert
DOC-2006-08 Fairness opinion
DOC-2006-15 Fairness opinion in the context of corporate finance transactions
I. 6.3. Shareholders’ agreement
DOC-2004-02 Advertising campaigns for public disclosure of standstill commitments to hold shares entered into under the Dutreil Act
I. 6.4. Major holding notification, letter of intent and change of intent
DOC-2008-02 Major shareholding notification and letter of intent
I. 6.5. Orderly acquisition procedure
DOC-2010-02 Transparency and procedure for the orderly acquisition of debt securities that do not give access to capital
I. 7 - Corporate governance and general meetings
I. 7.1. General meetings
DOC-2012-05 General meetings of shareholders of listed companies
DOC-2015-09 Communication by companies aimed at promoting their securities to individual investors
DOC-2015-10 Communication by companies on fees associated with holding securities in pure registered form
DOC-2011-06 Proxy voting advisory firms
DOC-2011-04 Procedures for communicating on transactions involving the temporary transfer of shares.
I. 7.2. Corporate governance
DOC-2012-02 Corporate governance and executive compensation in companies referring to the AFEP-MEDEF code - Consolidated presentation of the recommendations contained in the AMF annual reports
DOC-2015-05 Major Asset Disposals and Acquisitions
DOC-2011-17 AMF 2011 annual report on corporate governance and executive compensation
DOC-2010-15 AMF supplementary report on corporate governance, executive compensation and internal control – Mid-caps and small-caps governed by the Middlenext corporate governance code of December 2009
DOC-2010-16 Reference framework for risk management and internal control systems
II - Investment products
II. 1 - Collective investment schemes (CISs)
II. 1.1. Common provisions applicable to UCITS and CISs
DOC-2012-12 A guide to fees
DOC-2011-24 A guide to drafting collective investment marketing materials and distributing collective investments
DOC-2011-25 A guide to the monitoring of collective investment undertakings
DOC-2021-01 Performance fees in UCITS and certain types of AIFs
DOC-2020-08 Requirements for liquidity stress testing in UCITS and AIFs
DOC-2018-05 Requirements for stress test scenarios under article 28 of the european money market fund regulation
DOC-2020-03 Information to be provided by collective investment schemes incorporating non-financial approaches
DOC-2011-05 A guide to regulatory documents governing collective investment undertakings
DOC-2008-14 Fund performance swaps and actively managed investment structures
DOC-2011-15 Calculation of global exposure for authorised UCITS and AIFs
DOC-2007-19 Extra-financial criteria for securities selection and application of these criteria to funds declaring themselves compliant with Islamic law
DOC-2012-15 Criteria applicable to "philanthropic" collective investments
DOC-2017-05 Conditions for setting up redemption gate mechanisms
II. 1.2. Specific provisions applicable to UCITS
DOC-2011-19 Authorisation procedures, preparation of a KIID and a prospectus and periodic reporting for French and foreign UCITS marketed in France
DOC-2013-06 ETFs and other UCITS issues
II. 1.3. Specific provisions applicable to CISs open to all subscribers
II. 1.3.1. Common provisions
DOC-2014-09 Methods for meeting requirements to report to the AMF under the AIFM directive
DOC-2013-16 Key concepts of the Alternative Investment Fund Managers Directive
II. 1.3.2. Specific provisions applicable to Funds open to non-professional investors
DOC-2011-20 Authorisation processes, preparation of a KIID and a prospectus and periodic reporting for retail investment funds, funds of alternative funds and professional retail investment funds
DOC-2019-04 Real estate investment companies, Forestry investment companies and Forestry groups
DOC-2011-23 Authorisation and establishment processes for a KIID and a prospectus and periodic information for real estate collective investment undertakings and professional real estate collective investment undertakings
DOC-2011-22 Authorisation procedures, preparation of a KIID and rules, and reporting for private equity funds
DOC-2012-11 Guide for retail and professional private equity funds
II. 1.3.3. Specific provisions applicable to Funds open to professional investors
DOC-2011-20 Authorisation processes, preparation of a KIID and a prospectus and periodic reporting for retail investment funds, funds of alternative funds and professional retail investment funds
DOC-2011-23 Authorisation and establishment processes for a KIID and a prospectus and periodic information for real estate collective investment undertakings and professional real estate collective investment undertakings
DOC-2012-06 Procedures for making disclosures and introducing changes, preparation of a prospectus and reporting for specialised professional funds and professional private equity funds
DOC-2005-14 Q&A on professional specialised investment funds
DOC-2012-11 Guide for retail and professional private equity funds
DOC-2006-18 Calculation period for the net asset values of funds of alternative funds and retail investment funds
II. 1.3.4. Specific provisions applicable to employee investment undertakings
DOC-2011-21 Authorisation procedures, preparation of a KIID and a prospectus, and reporting for employee investment undertakings
DOC-2012-10 Guide relating to employee investment undertakings
II. 1.3.5. Specific provisions applicable to securitisation vehicles
DOC-2011-01 Securitisation vehicles
II. 2 - Other investment products
DOC-2011-08 Q&A on foreign exchange trading
DOC-2017-01 Questions and answers – Prohibition of marketing communications with regard to the provision of investment services on certain financial derivatives
III - Providers
III. 1 - Investment services providers
III. 1.1. Authorisation / Programme of operations / Passport
DOC-2008-03 Authorisation procedure for investment management companies, disclosure obligations and passporting
DOC-2016-02 Organisation of asset management companies for managing loan-granting AIFs
DOC-2008-23 Questions and answers on the concept of investment service of investment advice
DOC-2014-01 Programme of activity of investment services providers and information provided to the AMF
DOC-2012-08 Placement services and marketing of financial instruments
DOC-2012-19 Programme of operations guide for asset management companies and self-managed collective investments
DOC-2018-08 Joint guidelines of the European banking authority (EBA) and the European securities and markets authority (ESMA) on the assessment of the suitability of members of the management body and key function holders (eba/gl/2017/12)
DOC-2013-22 Frequently asked questions on the transposition of the AIFM Directive into French law
DOC-2009-24 Q&A on changes in the ownership structure of asset management companies
DOC-2017-10 Prudential assessment of acquisitions and increases of qualifying holdings in the financial sector
DOC-2008-15 Funds of hedge funds management in France
III. 1.2. Organisational rules
DOC-2007-24 Q&A on the organisational rules of investment services providers
DOC-2009-29 Questions-Réponses sur le dispositif de vérification du niveau de connaissances minimales des acteurs de marché
DOC-2014-06 Guide to the organisation of the risk management system within asset management companies
DOC-2012-01 Risk management organisation for collective investment undertaking management activities and discretionary portfolio management investment services
DOC-2006-09 Examination for the issuance of professional licences to compliance and internal control officers and investment services compliance officers
DOC-2012-17 Compliance function requirements
III. 1.3. Rules of conduct
DOC-2007-25 Q&A on the rules of conduct applicable to investment services providers
DOC-2014-07 Guide to best execution
DOC-2019-12 Professional obligations of investment services providers to retail clients with regard to third-party portfolio management
DOC-2013-10 Rémunérations et avantages reçus dans le cadre de la commercialisation et de la gestion sous mandat d'instruments financiers
DOC-2019-03 MIFID II suitability requirements
DOC-2008-04 Application of business conduct rules to marketing of units or shares in UCITS or AIFs by asset management companies, management companies or managers
DOC-2007-02 Investment decision and order execution support services
DOC-2017-07 Future performance simulations
DOC-2016-14 Sound remuneration policies under the UCITS Directive
DOC-2005-19 Exercising voting rights for asset management companies
DOC-2013-11 Remuneration policies for alternative investment fund managers
III. 1.4. Other obligations
DOC-2013-09 The exemption for market making activities and primary market operations under Regulation (EU) 236/2012
III. 2 - Other providers
III. 2.1. Custody account-keeper
DOC-2005-09 Discretionary portfolio management certificate
III. 2.2. Depositaries
DOC-2016-01 Authorisation procedure for investment firms acting as a UCITS depositary – Review procedure for the performance specifications of other UCITS and AIF depositaries
III. 2.3. Financial analysts
DOC-2007-12 Production of independent research for large scale securities offerings intended for retail investors
III. 2.4. Legal entities managing certain Other AIFs
DOC-2013-21 Registration arrangements for legal entities, other than portfolio management companies, managing certain Other AIF
DOC-2013-22 Frequently asked questions on the transposition of the AIFM Directive into French law
III. 2.5
III. 2.6. Digital assets services providers
DOC-2020-07 Questions & answers on the digital asset service providers regime
DOC-2019-23 Rules applicable to digital asset service providers
DOC-2019-24 Digital assets service providers - Cybersecurity system of requirements (version 1.0)
III. 3 - Anti-money laundering and combating the financing of terrorism
DOC-2019-18 Guidelines on the obligation to report to TRACFIN
DOC-2019-17 Guidelines on the concept of politically exposed persons
DOC-2019-16 Guidelines on due diligence obligations with respect to clients and their beneficial owners
DOC-2019-15 Guidance on the risk-based approach to combating money laundering and terrorist financing
DOC-2019-14 Guidelines on risk factors
III. 4 - Crowdfunding
DOC-2014-12 Information to be provided to investors by the issuer and crowdfunding investment adviser or investment services provider within the framework of crowdfunding
DOC-2014-10 Placing without a firm commitment basis and crowdfunding
DOC-2014-11 Description of the AMF review process of registration applications by crowdfunding investment advisers and the transmission of annual disclosures by said advisers
DOC-2018-02 Marketing of crowdfunding offers, calculation of default rates and run-off management of platforms
IV - Marketing - Customer relationship
IV. 1 - General provisions
DOC-2020-04 Requirements applicable to professional associations of financial investment advisors
DOC-2013-07 Requirements relating to the professional competence of financial investment advisers, the updating of their knowledge, and reporting to the AMF on their activity and that of associations
DOC-2006-23 Questions and answers on the rules that apply to financial investment advisers
DOC-2008-23 Questions and answers on the concept of investment service of investment advice
DOC-2012-08 Placement services and marketing of financial instruments
DOC-2017-07 Future performance simulations
DOC-2018-04 Guidelines on MIFID II product governance requirements
DOC-2018-03 Placing of financial instruments without a firm commitment basis, investment advice and consultancy services provided to firms in relation to capital structure, industrial strategy and mergers and acquisitions
DOC-2017-08 Position/Recommendation supplementing Position 2013-02 on collecting know-your-client information
DOC-2012-07 Complaint handling
DOC-2013-02 Collecting 'know-your-client' information
IV. 2 - Specific provisions applicable to certain products
DOC-2011-24 A guide to drafting collective investment marketing materials and distributing collective investments
DOC-2017-06 Procedure for preparing and registering an information document that must be filed with the AMF by intermediaries in miscellaneous assets
DOC-2008-04 Application of business conduct rules to marketing of units or shares in UCITS or AIFs by asset management companies, management companies or managers
DOC-2010-05 Marketing of complex financial instruments
DOC-2013-12 Requirement to offer a guarantee (of the formula and/or capital, as appropriate) for structured UCITS and AIFs, "guaranteed" UCITS and AIFs and structured debt securities issued by special purpose entities and marketed to the general public
DOC-2014-02 Disclosure to investors in unauthorised or undeclared AIFs
DOC-2014-04 Guide to UCITS, AIF and other investment fund marketing regimes in France
DOC-2014-03 Procedure for marketing units or shares of AIFs
DOC-2013-13 Guide pour la rédaction des documents commerciaux dans le cadre de la commercialisation des titres de créance structurés
V - Market infrastructure
V. 1 - Regulated market and multilateral trading facilities
DOC-2020-02 Clarifications regarding the notion of trading venue, applicable in particular to financial instruments registered in a distributed ledger
DOC-2017-12 Position limits for commodity derivatives traded on Euronext
V. 2 - Central depositories, clearing houses, payment and settlement systems
DOC-2009-07 On the file to be submitted to the AMF by a CSD or a SSS manager, within the framework of the prior approval application to the AMF for allowing an institution to open an account with the CSD or take part in the securities settlement system
V. 3 - Other market participants
DOC-2019-05 Procedure of recognition of foreign exchanges
DOC-2013-14 Scope of the regulation on credit rating agencies
VI - Market abuse
VI. 1 - Market soundings
DOC-2017-02 Persons receiving market soundings
VI. 2 - Whistleblowers
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Book VII - Token issuers and digital assets services providers
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Avoiding confusion over UCITS orders centralisation cut-off times

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AMF Household Savings Observatory Newsletter - No.42 - March 2021

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