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Article 321-44 into force since

  • Version into force since
ELI : /en/eli/fr/aai/amf/rg/article/321-44/20180103/notes

For the purposes of the provisions of Article 321-43, asset management companies must specifically ensure that:

  1. All the relevant persons referred to in Article 321-43 are aware of the restrictions on personal transactions, and of the measures decided by the asset management company in connection with personal transactions and disclosure for the purposes of Article 321-43;

  2. The asset management company is informed promptly of any personal transaction entered into by a relevant person referred to in the first paragraph of Article 321-43, either by notification of any such transaction or by other procedures enabling the asset management company to identify such transactions;

    If the asset management company has entered into an outsourcing contract, it must ensure that the service provider to which the task or function has been outsourced keeps a record of personal transactions entered into by any relevant person and is able to provide such information to the asset management company promptly on request.

  3. A record is kept of the personal transaction notified to the asset management company or identified by it. The record shall also mention any authorisation or prohibition in connection with the transaction.