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Titre clair et concis du tableau22 December 2023 | Ombudsman’s Blog | 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 laundering The Know Your Customer questionnaires submitted by financial institutions pursue specific objectives in the business relationship between them and investors: to provide a service tailored to their clients and to comply with their anti-money laundering obligations.I had the opportunity to go over these objectives and the different consequences of… The Know Your Customer questionnaires submitted by financial institutions pursue specific objectives in the business relationship between them and… |
04 December 2023 | Ombudsman’s Blog | Employee savings: please note that the employee savings plan cannot be released in several instalments on retirement Retirement is a key moment when it comes to employee savings. When an employee retires, they can request the early release of their employee savings plan on termination of their employment contract and, having now retired, the repayment of monies held in their employee retirement savings plan (PERCO).However, while retirement allows retired… Retirement is a key moment when it comes to employee savings. When an employee retires, they can request the early release of their employee… |
23 November 2023 | Warning | The AMF and the Paris Public Prosecutor's Office urge retail investors to be extremely vigilant regarding Immediate Connect's fraudulent investment offer in crypto-assets Following an initial public warning issued by the Autorité des Marchés Financiers (AMF) last June, the regulator continues to receive numerous enquiries and complaints from retail investors about this fraudulent automated trading offer, on Forex or in crypto-assets, which appears to be continuing via new websites. The AMF and the Paris Public… Following an initial public warning issued by the Autorité des Marchés Financiers (AMF) last June, the regulator continues to receive numerous… |
22 November 2023 | Ombudsman’s Blog | When the matrimonial property regime changes the calculation of a capital gain or loss If the matrimonial regime takes the form of joint ownership of property with a full attribution clause, the couple’s assets are attributed in their entirety to the surviving spouse.
As illustrated in the case I am presenting this month, the question then arises as to the acquisition price to be used to calculate the capital gains or losses on… If the matrimonial regime takes the form of joint ownership of property with a full attribution… |
22 November 2023 | AMF news release | Gamification tends to increase investment risk-taking, according to behavioural finance experiment conducted for the AMF A university laboratory experiment conducted at the request of the Autorité des Marchés Financiers (AMF), under the supervision of Marie-Hélène Broihanne, a professor at Strasbourg University and member of the AMF's Scientific Advisory Board, has shown that stimulus techniques derived from video games applied to investment can encourage people to… A university laboratory experiment conducted at the request of the Autorité des Marchés Financiers (AMF), under the supervision of Marie-Hélène… |
07 November 2023 | AMF news release | The ACPR and AMF encourage financial institutions to continue their efforts to take account of the vulnerability of ageing clients The joint unit of the Autorité de contrôle prudentiel et de résolution (ACPR) and the Autorité des marchés financiers (AMF) has published a summary of interviews with finance professionals on the progress of their work to take account of the specific characteristics of vulnerable ageing clients when marketing financial products. The joint unit of the Autorité de contrôle prudentiel et de résolution (ACPR) and the Autorité des marchés financiers (AMF) has published a… |
19 October 2023 | AMF news release | The AMF ensures that retail investors are properly informed on fees of financial products The Autorité des Marchés Financiers (AMF) has published a guide for professionals on the terms they should use to make it easier for their customers to understand and compare fees. The AMF has launched a new section on fees on its website, providing educational content and tools to help retail investors better understand the costs they may be… The Autorité des Marchés Financiers (AMF) has published a guide… |
11 October 2023 | AMF news release | The AMF announces the appointment of its new Secretary General, Sébastien Raspiller Following a decision by the Chair of the Autorité des Marchés Financiers (AMF), Sébastien Raspiller will be appointed Secretary General of the AMF on 16 October 2023. He replaces Benoît de Juvigny, who has held this position for 11 years. Following a decision by the Chair of the Autorité des Marchés… |
03 October 2023 | Ombudsman’s Blog | Account keepers informed of a clearing of the central order book by Euronext must inform affected clients Investment service providers must transmit or execute client orders in the order in which they are received, and promptly - unless the nature of the order or prevailing market conditions make this impossible, or the interests of the client require otherwise. They must also inform retail clients of any serious difficulty that is likely to affect… Investment service providers must transmit or execute client orders in the order in which they are received, and… |
02 October 2023 | Warning | The AMF is warning the public against several companies proposing atypical investments without being authorised to do so The Autorité des Marchés Financiers regularly updates its black lists of new websites and entities proposing atypical investments to investors in France without being authorized to do so. The Autorité des Marchés Financiers regularly updates its black lists of new websites and entities proposing atypical… |
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