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Article 320-5 en vigueur au

  • Version into force since
ELI : /en/eli/fr/aai/amf/rg/article/320-5/20200426/notes

I. – The asset management company shall establish and maintain an appropriate procedure for monitoring compliance with any restrictions that apply to:

  1. Transactions in financial instruments by the asset management company for its own account;

  2. Personal transactions referred to in Article 63 of Delegated Regulation (EU) n° 231/2013 of the Commission of 19 December 2012, made by or on behalf of the relevant persons referred to in Article 1 (2) of the same Regulation;

II. - To this end, the asset management company shall establish a restricted list. This list shall include the issuers for which it must restrict its activities, or the activities of relevant persons, due to:

  1. Legal or regulatory provisions to which the asset management company is subject, other than those resulting from the abstention requirements set out in Articles 8, 10 and 14 of Regulation (EU) n° 596/2014 of the European Parliament and of the Council of 16 April 2014;

  2. The implementation of any commitment made on the occasion of a financial transaction.

When an asset management company deems it necessary to prohibit or restrict the performance of an investment service, an investment activity or an ancillary service in respect of certain issuers or financial instruments, those issuers and financial instruments shall also be included on the restricted list.