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Titre clair et concis du tableau02 November 2023 | Policy | Instruction DOC-2016-02 Instruction DOC-2016-02 describes the organisational conditions that must be fulfilled by a portfolio asset management company managing AIFs wishing to grant loans. It defines the requirements for obtaining authorisation or an extension of authorisation. It also specifies the conditions for reporting to the AMF and the Banque de France for the… … (Article L. 650-1 of the Commercial Code); - rules on anti-money laundering and combating the financing of terrorism at the … |
25 October 2023 | AMF news release | Regulatory reporting by asset management companies: the AMF calls for greater diligence The AMF has published the results of a SPOT (Supervision of Operational and Thematic Practices) inspection campaign on the processes of preparing, verifying, and transmitting regulatory reports to the AMF. The findings show that management companies need to be more diligent about the quality of the data they submit. … audit report, and answer the questionnaire on their anti-money laundering and anti-terrorist financing measures. In … |
02 October 2023 | Policy | Position DOC-2023-07 The AMF applies the guidelines of the European Banking Authority (EBA) on Remote Customer Onboarding Solutions under Article 13(1) of Directive (EU) 2015/849 (EBA/GL/2022/15). These guidelines set out the steps credit and financial institutions should take when adopting or reviewing solutions to comply with customer due diligence obligations when… … providers Investment management companies Asset management Anti-money Laundering Policy The AMF applies the guidelines of the … |
02 October 2023 | Policy | Position - Recommendation DOC-2019-16 DOC-2019-16 sets out the due diligence obligations with regard to clients and their beneficial owners, as provided by Articles L. 561-4-1 and following of the Monetary and Financial Code, taking account of the essential contributions of the 4th directive and 5th directive, and notably the reinforcement of the risk-based approach, the distinction… … their beneficial owners … Investment services providers Anti-money Laundering Policy The Guidelines help clarify the due … |
28 July 2023 | News | Anti-money laundering and combating the financing of terrorism: the AMF applies the guidelines of the European Banking Authority The Autorité des Marchés Financiers (AMF) publishes a policy document to incorporate the guidelines of the European Banking Authority (EBA) on the use of remote customer onboarding solutions. … Anti-money laundering and combating the financing of terrorism: the AMF … to remote customer onboarding in line with applicable anti-money laundering and countering the financing of … |
01 January 2024 | Policy | Recommendation DOC-2020-07 … asset service providers regime … Fintech Crypto-assets Anti-money Laundering Policy Instruction Questions & answers on the … |
05 July 2023 | News | Pump-and-dump practice: market manipulation sanctioned by the Paris Tribunal Correctionnel The Paris Tribunal Correctionnel (Criminal Court) has sanctioned a pump-and-dump type market manipulation that was reported to it by the AMF. The AMF had joined the proceedings as a civil party. … found Mr Thierry Boutin guilty of market manipulation and laundering the proceeds of this offence, and convicted him of … sanctioned by the Paris Tribunal Correctionnel … MAR … Anti-money Laundering … |
24 May 2023 | Enforcement Committee news releases | The AMF Enforcement Committee sanctions an asset management company and two of its managers for breaches of their professional obligations In its decision of 16 May 2023, the Enforcement Committee handed down a fine of €400,000 and a warning to the asset management company Apicap. It also handed down a fine of €50,000 and a warning to its current chairman, Alain Esnault, and imposed a fine of €25,000 on his predecessor, Jérôme Lescure. … to collect information from clients as part of its anti-money laundering and combating the financing of terrorism measures … |
16 May 2023 | Policy | Instruction DOC-2014-01 … in accordance with legal and regulatory provisions on anti-money laundering and combating terrorist financing. Where the … |
03 May 2023 | Enforcement Committee news releases | The AMF Enforcement Committee fines a portfolio asset management company and its manager for breaches of their professional obligations In its decision of 24 April 2023, the Enforcement Committee handed down a warning and a fine of €200,000 to the portfolio asset management company Melanion Capital, and a warning and a fine of €150,000 to its manager, Mr Jad Comair. … function. The third series of breaches concerned the anti-money laundering and combating the financing of terrorism (AML/CFT) … |
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