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Book III - Service providers
Title I ter - Asset management companies of UCITS
Chapter V - Other provisions
Section 1 - Management of inside information and restrictions to be applied within authorised asset management companies
Sub-section 3 - Restricted list
Article 321-139 from 26/04/2020

Article 321-139 into force since

  • Version into force since
ELI : /en/eli/fr/aai/amf/rg/article/321-139/20200426/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. The personal transactions, as defined in Article 321-42 and made by or on behalf of the relevant persons referred to in the first paragraph of Article 321-43;

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.