Print from the website of the AMF
Merci de désactiver le bloqueurs de pub pour visualiser cette vidéo.
- Home
- News & Publications
- Publications
- SPOT inspection campaigns
- Summary of SPOT inspections on compliance with the new mifid 2 provisions on portfolio management for third parties
Summary of SPOT inspections on compliance with the new mifid 2 provisions on portfolio management for third parties
Summary of SPOT inspections on compliance with the new mifid 2 provisions on portfolio management for third parties
As announced in the AMF’s supervision priorities for 2019, a series of short thematic “SPOT”inspections relating to portfolio management for third parties (“portfolio management”) was carried out in 2019. These inspections were conducted as part of the new provisions introduced by Directive 2014/65/EU of 15 May 2014 on markets in financial instruments (“MiFID 2”), supplemented by Commission Delegated Regulation (EU) 2017/565 of 25 April 2016. The SPOT inspections involved a sample of five investment services providers (“ISPs”) targeting exclusively credit institutions authorised to provide portfolio management services on behalf of third parties. The inspections carried out covered the period 2018-2019.
Keywords
On the same topic
06 March 2024
AMF calls on investment services providers to take account of the specific nature of temporary ownership dismemberment when marketing SCPI units AMF calls on investment services providers to take account of the specific nature of temporary ownership dismemberment when marketing SCPI units06 March 2024
Summary of SPOT inspections on the marketing of SCPIs with temporary ownership dismemberment arrangements Summary of SPOT inspections on the marketing of SCPIs with temporary ownership dismemberment arrangements01 February 2024
The AMF reminds investment firms of the rules for identifying retail investors when reporting transactions The AMF reminds investment firms of the rules for identifying retail investors when reporting transactionsLegal information:
Head of publications: The Executive Director of AMF Communication Directorate. Contact: Communication Directorate – Autorité des marches financiers 17 place de la Bourse – 75082 Paris cedex 02
Head of publications: The Executive Director of AMF Communication Directorate. Contact: Communication Directorate – Autorité des marches financiers 17 place de la Bourse – 75082 Paris cedex 02