Flux RSShttps://www.amf-france.org/en/flux-rss/display/27Ombudsman’s Blog ETF Asset management Early closure of an ETF: rights and obligations of the distributor and fund management companyThu, 21 Nov 2024 08:32:32 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/early-closure-etf-rights-and-obligations-distributor-and-fund-management-company#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/early-closure-etf-rights-and-obligations-distributor-and-fund-management-company#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Employee savings scheme Employee savings schemes: difficulties in obtaining early release in the event of the amicable separation of a coupleMon, 21 Oct 2024 11:27:31 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/employee-savings-schemes-difficulties-obtaining-early-release-event-amicable-separation-couple#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/employee-savings-schemes-difficulties-obtaining-early-release-event-amicable-separation-couple#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Anti-money Laundering Anti-money laundering: a securities account may be closed if a client fails to update relevant personal informationFri, 13 Sep 2024 15:04:53 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/anti-money-laundering-securities-account-may-be-closed-if-client-fails-update-relevant-personal#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/anti-money-laundering-securities-account-may-be-closed-if-client-fails-update-relevant-personal#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Equity Savings Plan Acquisition of unlisted securities in an equity savings plan (PEA): note that there is no deferred payment optionMon, 22 Jul 2024 10:04:18 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/acquisition-unlisted-securities-equity-savings-plan-pea-note-there-no-deferred-payment-option#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/acquisition-unlisted-securities-equity-savings-plan-pea-note-there-no-deferred-payment-option#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog UCIT Fees Disclosure Obligations UCITS: when a fund's outperformance gives rise to a significant increase in feesTue, 18 Jun 2024 15:27:41 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/ucits-when-funds-outperformance-gives-rise-significant-increase-fees#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/ucits-when-funds-outperformance-gives-rise-significant-increase-fees#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Equity Savings Plan Capping of PEA transaction fees: the channel through which an order is transmitted is not sufficient to justify the order having been executed electronicallyFri, 17 May 2024 15:58:04 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/capping-pea-transaction-fees-channel-through-which-order-transmitted-not-sufficient-justify-order#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/capping-pea-transaction-fees-channel-through-which-order-transmitted-not-sufficient-justify-order#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Employee savings scheme Voluntary payments into a retirement savings plan (PER): employees need to be better informed about the tax consequences of their choiceTue, 23 Apr 2024 08:00:06 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/voluntary-payments-retirement-savings-plan-employees-need-be-better-informed-about-tax-consequences#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/voluntary-payments-retirement-savings-plan-employees-need-be-better-informed-about-tax-consequences#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Corporate action Stock market orders: for a better understanding of the reasons why price data may be adjustedMon, 11 Mar 2024 15:43:08 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/stock-market-orders-better-understanding-reasons-why-price-data-may-be-adjusted#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/stock-market-orders-better-understanding-reasons-why-price-data-may-be-adjusted#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Asset management Collective investments SCPI: A redemption request, even if in order, may be executed within an indefinite period of timeWed, 06 Mar 2024 12:11:03 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/scpi-redemption-request-even-if-order-may-be-executed-within-indefinite-period-time#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/scpi-redemption-request-even-if-order-may-be-executed-within-indefinite-period-time#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Investment advice Failure to reply to a Know Your Customer questionnaire: different consequences depending on whether the questionnaire is intended to assess the client or to combat money launderingFri, 22 Dec 2023 15:32:13 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/failure-reply-know-your-customer-questionnaire-different-consequences-depending-whether#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/failure-reply-know-your-customer-questionnaire-different-consequences-depending-whether#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Employee savings scheme Employee savings: please note that the employee savings plan cannot be released in several instalments on retirementMon, 04 Dec 2023 10:49:36 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/employee-savings-please-note-employee-savings-plan-cannot-be-released-several-instalments-retirement#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/employee-savings-please-note-employee-savings-plan-cannot-be-released-several-instalments-retirement#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Securities account When the matrimonial property regime changes the calculation of a capital gain or lossWed, 22 Nov 2023 18:19:16 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/when-matrimonial-property-regime-changes-calculation-capital-gain-or-loss#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/when-matrimonial-property-regime-changes-calculation-capital-gain-or-loss#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Order Account keepers informed of a clearing of the central order book by Euronext must inform affected clientsTue, 03 Oct 2023 15:59:26 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/account-keepers-informed-clearing-central-order-book-euronext-must-inform-affected-clients#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/account-keepers-informed-clearing-central-order-book-euronext-must-inform-affected-clients#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Employee savings scheme When the introduction of the single retirement savings plan (Plan d’épargne retraite unique: PERU) creates misunderstandings among saversMon, 17 Jul 2023 10:04:36 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/when-introduction-single-retirement-savings-plan-plan-depargne-retraite-unique-peru-creates#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/when-introduction-single-retirement-savings-plan-plan-depargne-retraite-unique-peru-creates#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Order Stock market orders: the share price adopted for the provision check must not be obsoleteWed, 14 Jun 2023 14:57:47 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/stock-market-orders-share-price-adopted-provision-check-must-not-be-obsolete#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/stock-market-orders-share-price-adopted-provision-check-must-not-be-obsolete#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Investment advice Disclosure Obligations professional obligations All the information communicated by an adviser to a retail investor must be accurate, clear and not misleadingFri, 26 May 2023 14:01:08 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/all-information-communicated-adviser-retail-investor-must-be-accurate-clear-and-not-misleading#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/all-information-communicated-adviser-retail-investor-must-be-accurate-clear-and-not-misleading#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Securities account Companies under court-ordered liquidation: what can you do with worthless securities in your portfolio?Fri, 14 Apr 2023 10:43:56 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/companies-under-court-ordered-liquidation-what-can-you-do-worthless-securities-your-portfolio#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/companies-under-court-ordered-liquidation-what-can-you-do-worthless-securities-your-portfolio#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Order PRIIPs ETF Application of the PRIIPs Regulation: what happens to US packaged products subscribed before the regulation came into force?Thu, 09 Mar 2023 15:03:32 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/application-priips-regulation-what-happens-us-packaged-products-subscribed-regulation-came-force#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/application-priips-regulation-what-happens-us-packaged-products-subscribed-regulation-came-force#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Corporate action Mini-tender offers for US equities: watch out for traps!Thu, 23 Feb 2023 08:27:37 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/mini-tender-offers-us-equities-watch-out-traps#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/mini-tender-offers-us-equities-watch-out-traps#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Employee savings scheme Employee savings schemes: construction of a building that is not attached to the main residence does not entitle beneficiaries to early releaseWed, 14 Dec 2022 10:58:25 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/employee-savings-schemes-construction-building-not-attached-main-residence-does-not-entitle#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/employee-savings-schemes-construction-building-not-attached-main-residence-does-not-entitle#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Order Stock market orders: a financial institution may reject an order that it deems to be "aberrant"Wed, 16 Nov 2022 10:20:58 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/stock-market-orders-financial-institution-may-reject-order-it-deems-be-aberrant#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/stock-market-orders-financial-institution-may-reject-order-it-deems-be-aberrant#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Employee savings scheme Transfer of a retirement savings plan (PER): when incomplete information results in a blockage situationMon, 17 Oct 2022 13:11:37 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/transfer-retirement-savings-plan-when-incomplete-information-results-blockage-situation#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/transfer-retirement-savings-plan-when-incomplete-information-results-blockage-situation#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Disclosure Obligations Alert in the event of a 10% fall in the value of a leveraged financial instrument: an obligation for the intermediaryWed, 21 Sep 2022 08:31:24 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/alert-event-10-fall-value-leveraged-financial-instrument-obligation-intermediary#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/alert-event-10-fall-value-leveraged-financial-instrument-obligation-intermediary#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Marketing SCPI real estate investment companies: when a bank fails to send its customer’s subscription formTue, 12 Jul 2022 17:42:41 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/scpi-real-estate-investment-companies-when-bank-fails-send-its-customers-subscription-form#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/scpi-real-estate-investment-companies-when-bank-fails-send-its-customers-subscription-form#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Equity Savings Plan Inheritance: an abnormally long execution time may sometimes prove profitableTue, 14 Jun 2022 11:51:43 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/inheritance-abnormally-long-execution-time-may-sometimes-prove-profitable#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/inheritance-abnormally-long-execution-time-may-sometimes-prove-profitable#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Equity Savings Plan Personal equity savings plans: unlisted securities of a company in court-ordered liquidation may be withdrawn from the plan without entailing its closureFri, 06 May 2022 11:41:35 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/personal-equity-savings-plans-unlisted-securities-company-court-ordered-liquidation-may-be-withdrawn#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/personal-equity-savings-plans-unlisted-securities-company-court-ordered-liquidation-may-be-withdrawn#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Order A stop loss order does not give investors control over the execution priceWed, 27 Apr 2022 08:31:32 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/stop-loss-order-does-not-give-investors-control-over-execution-price#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/stop-loss-order-does-not-give-investors-control-over-execution-price#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Collective investments Not being able to subscribe to a fund does not necessarily imply a refusal to sellFri, 11 Mar 2022 10:44:29 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/not-being-able-subscribe-fund-does-not-necessarily-imply-refusal-sell#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/not-being-able-subscribe-fund-does-not-necessarily-imply-refusal-sell#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Corporate action IPOs: the loss may be more than just the non-execution of the subscription orderWed, 09 Feb 2022 15:51:03 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/ipos-loss-may-be-more-just-non-execution-subscription-order#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/ipos-loss-may-be-more-just-non-execution-subscription-order#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Securities account What are the obligations of the account keeper and its client when a securities transaction results in a debit cash balance?Wed, 15 Dec 2021 10:43:25 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/what-are-obligations-account-keeper-and-its-client-when-securities-transaction-results-debit-cash#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/what-are-obligations-account-keeper-and-its-client-when-securities-transaction-results-debit-cash#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Order A stock exchange order must be able to be cancelled or altered as long as it has not been executedMon, 22 Nov 2021 13:38:11 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/stock-exchange-order-must-be-able-be-cancelled-or-altered-long-it-has-not-been-executed#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/stock-exchange-order-must-be-able-be-cancelled-or-altered-long-it-has-not-been-executed#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Asset management The underperformance of a mutual fund is not enough to characterise mismanagementThu, 14 Oct 2021 08:55:29 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/underperformance-mutual-fund-not-enough-characterise-mismanagement#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/underperformance-mutual-fund-not-enough-characterise-mismanagement#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Corporate action Securities transactions: the importance of providing information about the possible reply proceduresMon, 13 Sep 2021 15:06:13 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/securities-transactions-importance-providing-information-about-possible-reply-procedures#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/securities-transactions-importance-providing-information-about-possible-reply-procedures#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Order Stock market orders: when a trading curb holds some surprises…Wed, 21 Jul 2021 15:16:41 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/stock-market-orders-when-trading-curb-holds-some-surprises#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/stock-market-orders-when-trading-curb-holds-some-surprises#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Individual investment mandate In a management mandate, clients may not base their claims on the fact that they have not given any instructionsWed, 23 Jun 2021 11:24:26 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/management-mandate-clients-may-not-base-their-claims-fact-they-have-not-given-any-instructions#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/management-mandate-clients-may-not-base-their-claims-fact-they-have-not-given-any-instructions#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Employee savings scheme Employee savings: what is the trigger event date for early release on the grounds of a marriage outside France?Mon, 10 May 2021 11:42:31 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/employee-savings-what-trigger-event-date-early-release-grounds-marriage-outside-france#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/employee-savings-what-trigger-event-date-early-release-grounds-marriage-outside-france#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Order Stock market orders: when the validity period of an order has an impact on the likelihood of its executionMon, 26 Apr 2021 16:11:32 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/stock-market-orders-when-validity-period-order-has-impact-likelihood-its-execution#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/stock-market-orders-when-validity-period-order-has-impact-likelihood-its-execution#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Corporate action Preferential subscription right: investors, even non-shareholders, must be properly informedWed, 24 Mar 2021 16:45:17 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/preferential-subscription-right-investors-even-non-shareholders-must-be-properly-informed#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/preferential-subscription-right-investors-even-non-shareholders-must-be-properly-informed#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Employee savings scheme Employee shareholder investment undertakings: be careful of redemption orders with trigger thresholdsTue, 02 Mar 2021 11:12:47 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/employee-shareholder-investment-undertakings-be-careful-redemption-orders-trigger-thresholds#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/employee-shareholder-investment-undertakings-be-careful-redemption-orders-trigger-thresholds#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Order Stock market orders: What precautions should be taken to ensure that transactions are recorded before 31 December?Mon, 14 Dec 2020 14:11:41 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/stock-market-orders-what-precautions-should-be-taken-ensure-transactions-are-recorded-31-december#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/stock-market-orders-what-precautions-should-be-taken-ensure-transactions-are-recorded-31-december#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Order Full community of marital property regime: what are the consequences on the death of a spouse who holds securities?Tue, 24 Nov 2020 11:00:01 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/full-community-marital-property-regime-what-are-consequences-death-spouse-who-holds-securities#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/full-community-marital-property-regime-what-are-consequences-death-spouse-who-holds-securities#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Order In the event of an incomplete questionnaire, the bank must alert its clients but transmit their stock exchange ordersThu, 29 Oct 2020 09:58:24 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/event-incomplete-questionnaire-bank-must-alert-its-clients-transmit-their-stock-exchange-orders#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/event-incomplete-questionnaire-bank-must-alert-its-clients-transmit-their-stock-exchange-orders#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Employee savings scheme Employee savings: the list of justifications for early release of funds is not exhaustiveTue, 29 Sep 2020 14:30:19 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/employee-savings-list-justifications-early-release-funds-not-exhaustive#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/employee-savings-list-justifications-early-release-funds-not-exhaustive#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Order Ban on short selling: who was supposed to apply it and to which securities?Wed, 29 Jul 2020 14:27:04 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/ban-short-selling-who-was-supposed-apply-it-and-which-securities#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/ban-short-selling-who-was-supposed-apply-it-and-which-securities#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Collective investments Why it is necessary to read the Key Investor Information Document (KIID) carefully in the event of a dispute about the fees charged on UCITSFri, 24 Jul 2020 17:35:54 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/why-it-necessary-read-key-investor-information-document-kiid-carefully-event-dispute-about-fees#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/why-it-necessary-read-key-investor-information-document-kiid-carefully-event-dispute-about-fees#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Securities account Stock Exchange: all holders of joint securities accounts should be able to place a buy order during an open-price offer (OPO)Tue, 19 May 2020 14:52:17 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/stock-exchange-all-holders-joint-securities-accounts-should-be-able-place-buy-order-during-open#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/stock-exchange-all-holders-joint-securities-accounts-should-be-able-place-buy-order-during-open#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Employee savings scheme Employee savings: default investments in PERCO collective retirement savings plans further to the PACTE LawTue, 21 Apr 2020 11:43:30 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/employee-savings-default-investments-perco-collective-retirement-savings-plans-further-pacte-law#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/employee-savings-default-investments-perco-collective-retirement-savings-plans-further-pacte-law#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Equity Savings Plan A "PEA" (personal equity savings plan) must be closed on the holder's death, but its closing is not equivalent to a liquidation orderFri, 13 Mar 2020 12:00:24 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/pea-personal-equity-savings-plan-must-be-closed-holders-death-its-closing-not-equivalent-liquidation#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/pea-personal-equity-savings-plan-must-be-closed-holders-death-its-closing-not-equivalent-liquidation#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Investment advice Deferred Settlement Service (SRD): when duly warned clients invest at their own risk - February 2020Wed, 12 Feb 2020 14:47:55 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/deferred-settlement-service-srd-when-duly-warned-clients-invest-their-own-risk-february-2020#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/deferred-settlement-service-srd-when-duly-warned-clients-invest-their-own-risk-february-2020#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Savings protection Opening a securities account: what are the bank’s anti-money laundering obligations?Fri, 20 Dec 2019 11:16:13 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/opening-securities-account-what-are-banks-anti-money-laundering-obligations#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/opening-securities-account-what-are-banks-anti-money-laundering-obligations#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Savings protection When an employee investor thinks that the allocation decision has been finalised - November 2019Wed, 20 Nov 2019 10:29:30 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/when-employee-investor-thinks-allocation-decision-has-been-finalised-november-2019#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/when-employee-investor-thinks-allocation-decision-has-been-finalised-november-2019#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Shares Can an account-keeping institution be held liable for the ineligibility of securities held in a PEA after subscriptionWed, 23 Oct 2019 16:28:47 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/can-account-keeping-institution-be-held-liable-ineligibility-securities-held-pea-after-subscription#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/can-account-keeping-institution-be-held-liable-ineligibility-securities-held-pea-after-subscription#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Investment advice Collective investments The challenge of recommending a suitable financial product for the client's specific situationMon, 02 Sep 2019 14:55:43 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/challenge-recommending-suitable-financial-product-clients-specific-situation#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/challenge-recommending-suitable-financial-product-clients-specific-situation#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Equity Savings Plan A specific point worth knowing when selling unlisted securities in an equity savings plan: what to do in case of a deferred payment ?Mon, 01 Jul 2019 17:07:06 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/specific-point-worth-knowing-when-selling-unlisted-securities-equity-savings-plan-what-do-case#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/specific-point-worth-knowing-when-selling-unlisted-securities-equity-savings-plan-what-do-case#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Collective investments Employee savings scheme Employee shareholder investment undertakings: why is there a possible periodic readjustment of the number of units?Tue, 04 Jun 2019 16:56:44 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/employee-shareholder-investment-undertakings-why-there-possible-periodic-readjustment-number-units#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/employee-shareholder-investment-undertakings-why-there-possible-periodic-readjustment-number-units#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Disclosure Obligations Collective investments The KIID: a document that must be provided and read before any subscriptionFri, 03 May 2019 16:49:26 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/kiid-document-must-be-provided-and-read-any-subscription#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/kiid-document-must-be-provided-and-read-any-subscription#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Corporate action Regarding bond purchases and redemptions: what exactly does “par” mean?Mon, 01 Apr 2019 16:38:40 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/regarding-bond-purchases-and-redemptions-what-exactly-does-par-mean#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/regarding-bond-purchases-and-redemptions-what-exactly-does-par-mean#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Employee savings scheme What is fairness in mediation? A practical example for the case of the monthMon, 04 Mar 2019 16:19:18 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/what-fairness-mediation-practical-example-case-month#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/what-fairness-mediation-practical-example-case-month#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Securities account Note that while investors have the right to possess deposit accounts, this is not the case for securities accountsMon, 04 Feb 2019 15:39:01 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/note-while-investors-have-right-possess-deposit-accounts-not-case-securities-accounts#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/note-while-investors-have-right-possess-deposit-accounts-not-case-securities-accounts#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Corporate action Capital increase: It is important to note that subscribing to shares on a “reducible” basis is possible only where the shareholder has first subscribed on an “irreducible” basisWed, 05 Dec 2018 15:13:16 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/capital-increase-it-important-note-subscribing-shares-reducible-basis-possible-only-where#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/capital-increase-it-important-note-subscribing-shares-reducible-basis-possible-only-where#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Employee savings scheme Employee savings: even in the event of retirement, the full withdrawal of funds does not result in the closure of the company savings planTue, 06 Nov 2018 15:03:49 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/employee-savings-even-event-retirement-full-withdrawal-funds-does-not-result-closure-company-savings#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/employee-savings-even-event-retirement-full-withdrawal-funds-does-not-result-closure-company-savings#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Investment advice Disclosure Obligations On the correct use of the AMF Ombudsman: neither too early nor too late…Mon, 01 Oct 2018 14:56:32 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/correct-use-amf-ombudsman-neither-too-early-nor-too-late#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/correct-use-amf-ombudsman-neither-too-early-nor-too-late#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Equity Savings Plan Transfer of a classic PEA to an insurer-managed PEA: pay careful attention to special conditionsMon, 03 Sep 2018 14:46:55 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/transfer-classic-pea-insurer-managed-pea-pay-careful-attention-special-conditions#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/transfer-classic-pea-insurer-managed-pea-pay-careful-attention-special-conditions#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Employee savings scheme Please note, early employee savings plan release to purchase or extend a main home owned via an SCI is not permittedMon, 02 Jul 2018 14:38:22 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/please-note-early-employee-savings-plan-release-purchase-or-extend-main-home-owned-sci-not-permitted#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/please-note-early-employee-savings-plan-release-purchase-or-extend-main-home-owned-sci-not-permitted#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Corporate action Securities account Attention: the five-year dividend limitation periodFri, 01 Jun 2018 14:29:49 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/attention-five-year-dividend-limitation-period#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/attention-five-year-dividend-limitation-period#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Collective investments The Ombudsman’s monthly case - Attention: the possible lockup period for your assets placed in an FCPIFri, 04 May 2018 11:50:42 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/ombudsmans-monthly-case-attention-possible-lockup-period-your-assets-placed-fcpi#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/ombudsmans-monthly-case-attention-possible-lockup-period-your-assets-placed-fcpi#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Corporate action Identifying the date on which shareholder status grants the right to receive associated dividendsTue, 03 Apr 2018 11:44:14 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/identifying-date-which-shareholder-status-grants-right-receive-associated-dividends#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/identifying-date-which-shareholder-status-grants-right-receive-associated-dividends#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Securities account Unless specifically required to do so, an account-keeping institution does not have to provide information or alerts intended for the account-holder to an agent who has been granted a general power of attorneyThu, 08 Mar 2018 11:20:45 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/unless-specifically-required-do-so-account-keeping-institution-does-not-have-provide-information-or#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/unless-specifically-required-do-so-account-keeping-institution-does-not-have-provide-information-or#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Investment advice If the client does not provide the information on the MiFID questionnaire, the bank must refrain from providing investment adviceThu, 01 Feb 2018 11:12:49 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/if-client-does-not-provide-information-mifid-questionnaire-bank-must-refrain-providing-investment#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/if-client-does-not-provide-information-mifid-questionnaire-bank-must-refrain-providing-investment#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Collective investments Attention: the exit free of charge is the only right open to the holder in the event of a merger of mutual fundsFri, 01 Dec 2017 10:20:02 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/attention-exit-free-charge-only-right-open-holder-event-merger-mutual-funds#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/attention-exit-free-charge-only-right-open-holder-event-merger-mutual-funds#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Equity Savings Plan Transferring an equity savings plan to another bank: this very often resembles an obstacle race stillWed, 08 Nov 2017 17:34:25 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/transferring-equity-savings-plan-another-bank-very-often-resembles-obstacle-race-still#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/transferring-equity-savings-plan-another-bank-very-often-resembles-obstacle-race-still#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Order The case of a stockmarket order executed at an unrepresentative price – Euronext can cancel transactions in special circumstancesTue, 03 Oct 2017 17:23:29 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/case-stockmarket-order-executed-unrepresentative-price-euronext-can-cancel-transactions-special#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/case-stockmarket-order-executed-unrepresentative-price-euronext-can-cancel-transactions-special#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Collective investments Disclosure Obligations Failure by a firm to update client addresses may prove costlyFri, 01 Sep 2017 17:09:19 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/failure-firm-update-client-addresses-may-prove-costly#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/failure-firm-update-client-addresses-may-prove-costly#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Collective investments Why requests to redeem units in collective investment undertakings “at a known price” have no meritTue, 04 Jul 2017 16:55:37 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/why-requests-redeem-units-collective-investment-undertakings-known-price-have-no-merit#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/why-requests-redeem-units-collective-investment-undertakings-known-price-have-no-merit#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Employee savings scheme Employee savings schemes: fees can erode employees’ modest retirement savings if their new employer does not have a group planFri, 02 Jun 2017 16:02:32 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/employee-savings-schemes-fees-can-erode-employees-modest-retirement-savings-if-their-new-employer#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/employee-savings-schemes-fees-can-erode-employees-modest-retirement-savings-if-their-new-employer#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Securities account When a regular securities account cannot be transferred because it contains securities of companies in court-ordered liquidationFri, 31 Mar 2017 15:33:07 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/when-regular-securities-account-cannot-be-transferred-because-it-contains-securities-companies-court#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/when-regular-securities-account-cannot-be-transferred-because-it-contains-securities-companies-court#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Employee savings scheme Employee savings plans – Be careful! Termination of an employment contract does not enable premature withdrawal from a PERCO retirement savings planThu, 02 Feb 2017 15:11:57 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/employee-savings-plans-be-careful-termination-employment-contract-does-not-enable-premature#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/employee-savings-plans-be-careful-termination-employment-contract-does-not-enable-premature#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Order “Best execution” of orders or the relative importance of the total cost paid by the clientFri, 02 Dec 2016 14:46:23 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/best-execution-orders-or-relative-importance-total-cost-paid-client#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/best-execution-orders-or-relative-importance-total-cost-paid-client#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Forex and binary options Binary options, over-the-phone training in trading: say goodbye to your savingsThu, 03 Nov 2016 14:30:31 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/binary-options-over-phone-training-trading-say-goodbye-your-savings#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/binary-options-over-phone-training-trading-say-goodbye-your-savings#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Equity Savings Plan Corporate action When a holding disappears from an equity saving plan: understanding how preferential subscription rights workMon, 03 Oct 2016 14:13:48 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/when-holding-disappears-equity-saving-plan-understanding-how-preferential-subscription-rights-work#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/when-holding-disappears-equity-saving-plan-understanding-how-preferential-subscription-rights-work#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Investment advice Be aware of financial packages that are ill-suited to customer needsFri, 02 Sep 2016 14:08:30 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/be-aware-financial-packages-are-ill-suited-customer-needs#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/be-aware-financial-packages-are-ill-suited-customer-needs#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Employee savings scheme Be aware of the difference between transferring and switching assets within employee savings schemesFri, 01 Jul 2016 14:02:55 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/be-aware-difference-between-transferring-and-switching-assets-within-employee-savings-schemes#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/be-aware-difference-between-transferring-and-switching-assets-within-employee-savings-schemes#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Securities account Order Estates: What are the rights of the beneficial owner of a securities portfolio?Wed, 01 Jun 2016 11:52:33 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/estates-what-are-rights-beneficial-owner-securities-portfolio#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/estates-what-are-rights-beneficial-owner-securities-portfolio#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Employee savings scheme Employee savings: your allocation decisions must be made in writing and whitin the required timeframeMon, 02 May 2016 11:47:29 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/employee-savings-your-allocation-decisions-must-be-made-writing-and-whitin-required-timeframe#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/employee-savings-your-allocation-decisions-must-be-made-writing-and-whitin-required-timeframe#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Equity Savings Plan Sale of unlisted shares held under an equity savings plan: don’t forget to pay the receipts into your plan’s cash account – and inform your bank!Mon, 04 Apr 2016 11:41:15 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/sale-unlisted-shares-held-under-equity-savings-plan-dont-forget-pay-receipts-your-plans-cash-account#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/sale-unlisted-shares-held-under-equity-savings-plan-dont-forget-pay-receipts-your-plans-cash-account#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Employee savings scheme Compagny savings and purchase of principal residence: documentation is not interchangeableTue, 01 Mar 2016 11:24:54 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/compagny-savings-and-purchase-principal-residence-documentation-not-interchangeable#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/compagny-savings-and-purchase-principal-residence-documentation-not-interchangeable#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Collective investments Avoiding confusion over UCITS orders centralisation cut-off timesTue, 02 Feb 2016 11:21:17 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/avoiding-confusion-over-ucits-orders-centralisation-cut-times#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/avoiding-confusion-over-ucits-orders-centralisation-cut-times#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Disclosure Obligations Collective investments Banks must be able to prove they gave a client a prospectus prior to investing in a collective investment schemeWed, 02 Dec 2015 11:11:41 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/banks-must-be-able-prove-they-gave-client-prospectus-prior-investing-collective-investment-scheme#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/banks-must-be-able-prove-they-gave-client-prospectus-prior-investing-collective-investment-scheme#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Employee savings scheme What happens to incentive compensation invested after the employee has left the company?Wed, 04 Nov 2015 11:02:44 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/what-happens-incentive-compensation-invested-after-employee-has-left-company#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/what-happens-incentive-compensation-invested-after-employee-has-left-company#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Order Misexecution of trade orders: when a complainant is mistaken about his actual lossFri, 02 Oct 2015 10:55:49 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/misexecution-trade-orders-when-complainant-mistaken-about-his-actual-loss#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/misexecution-trade-orders-when-complainant-mistaken-about-his-actual-loss#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Forex and binary options Virtual gains but real losses. Although you might actually generate forex trading gains in rare instances, getting the money out of your account may not prove straightforward...Wed, 02 Sep 2015 10:43:44 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/virtual-gains-real-losses-although-you-might-actually-generate-forex-trading-gains-rare-instances#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/virtual-gains-real-losses-although-you-might-actually-generate-forex-trading-gains-rare-instances#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Collective investments On what basis should a late-executed share redemption for a SICAV be settled?Mon, 06 Jul 2015 10:35:32 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/what-basis-should-late-executed-share-redemption-sicav-be-settled#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/what-basis-should-late-executed-share-redemption-sicav-be-settled#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Employee savings scheme Employee investment undertakings: it's useful to be fully informed of the special conditions for an early release when buying a main residenceTue, 02 Jun 2015 10:26:29 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/employee-investment-undertakings-its-useful-be-fully-informed-special-conditions-early-release-when#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/employee-investment-undertakings-its-useful-be-fully-informed-special-conditions-early-release-when#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Order Beware! One market order can hide another: what are the rules on the priority of execution of orders?Mon, 04 May 2015 10:06:35 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/beware-one-market-order-can-hide-another-what-are-rules-priority-execution-orders#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/beware-one-market-order-can-hide-another-what-are-rules-priority-execution-orders#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Forex and binary options Information kept by the customer helps the Ombudsman to receive compensation in relation to binary options and Forex, if the company is licensedWed, 01 Apr 2015 17:11:20 +0200https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/information-kept-customer-helps-ombudsman-receive-compensation-relation-binary-options-and-forex-if#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/information-kept-customer-helps-ombudsman-receive-compensation-relation-binary-options-and-forex-if#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Securities account Order The status of the American taxpayer known as a 'US Person': what are the respective obligations of the bank and the customer related to the extra-territoriality of the American tax regulations?Mon, 02 Mar 2015 17:02:59 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/status-american-taxpayer-known-us-person-what-are-respective-obligations-bank-and-customer-related#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/status-american-taxpayer-known-us-person-what-are-respective-obligations-bank-and-customer-related#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Equity Savings Plan Investing in an ineligible security within the context of a “classic” Plan d'Epargne en actions (PEA) (Personal Equity Plan) - who is responsible?Mon, 02 Feb 2015 16:54:46 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/investing-ineligible-security-within-context-classic-plan-depargne-en-actions-pea-personal-equity#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/investing-ineligible-security-within-context-classic-plan-depargne-en-actions-pea-personal-equity#xts=607212&xtor=RSS-27&type=RSSOmbudsman’s Blog Corporate action An ex-dividend date may have consequences on your stock market ordersTue, 06 Jan 2015 16:30:37 +0100https://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/ex-dividend-date-may-have-consequences-your-stock-market-orders#xts=607212&xtor=RSS-27&type=RSShttps://www.amf-france.org/en/amf-ombudsman/ombudsman-online-diary/latest/ex-dividend-date-may-have-consequences-your-stock-market-orders#xts=607212&xtor=RSS-27&type=RSS