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Article 321-139 into force from to

  • Version into force from to
ELI : /en/eli/fr/aai/amf/rg/article/321-139/20180103/notes

I. – Asset management companies 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 companies for its own account;

  2. Personal transactions, as defined in Article 321-42, made by or on behalf of the relevant persons referred to in first subparagraph of Article 321-43;

II. - To this end, the compliance and internal control officer shall establish a restricted list. This list includes those issuers or financial instruments in which the asset management company must restrict its activities, or the activities of relevant persons, because of:

  1. Legal or regulatory provisions to which the asset management company is subject other than those resulting from the abstention requirements set forth 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. Undertakings made on the occasion of a financial offering.

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.