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Book III - Service providers
Title I ter - Asset management companies of UCITS
Chapter III - Organisational rules
Section 8 - Professional licences
Sub-section 2 - Compliance and internal control officer professional licence issuance
Article 321-63 from 03/01/2018

Article 321-63 into force since

  • Version into force since
ELI : /en/eli/fr/aai/amf/rg/article/321-63/20180103/notes

Before issuing the professional license, the AMF shall verify:

  1. That the relevant natural person is fit and proper, that he is familiar with the professional requirements and capable of performing the functions of compliance and internal control officer.

  2. That pursuant to Article 321-37, II, the asset management company has conducted an internal verification or an examination as provided for in Article 321-39, II, 3 to ensure that the person in question has the minimum knowledge referred to in Article 321-39, II, 1.

  3. That the asset management company complies with Article 321-32.