Merci de désactiver le bloqueurs de pub pour visualiser cette vidéo.
Book III - Service providers
Title I ter - Asset management companies of UCITS
Chapter III - Organisational rules
Section 2 - Compliance system
Sub-section 1 - General provisions
Article 321-32 from 03/01/2018

Article 321-32 into force since

  • Version into force since
ELI : /en/eli/fr/aai/amf/rg/article/321-32/20180103/notes

Asset management companies shall ensure that the following conditions are met to enable the compliance function to perform its tasks properly and independently:

  1. The compliance function must have the necessary authority, resources and expertise and access to all relevant information;

  2. A compliance and internal control officer must be appointed and must be responsible for this function and for reporting as to compliance, including the report referred to in Article 321-36.

  3. The relevant persons involved in the compliance function are not involved in the performance of the services and activities that they monitor;

  4. The method for determining the remuneration of the relevant persons involved in the compliance function must not compromise their objectivity and must not be likely to do so.

However, asset management companies shall not be required to comply with Points 3° or 4° if they are able to demonstrate that, in view of the nature, scale, complexity and range of the businesses that they engage in, the requirements under Points 3° or 4° are not proportionate and that their compliance function continues to be effective.