21 February 2024 | Acteur liste noire | compliance-crypto.com … compliance-crypto.com … compliance-crypto.com Usurpation compliance-crypto.com … /en/compliance-cryptocom … compliance-crypto.com … … |
14 March 2024 | Article | Obtain the Investment Services Compliance Officer (RCSI) professional licence Are you changing your Investment Services Compliance Officer (RCSI)? Would you like to enrol an employee for the AMF training and/or examination to obtain the RCSI professional licence? You will find all the information you need to report the change and about the RCSI licence here.… Obtain the Investment Services Compliance Officer (RCSI) professional licence … You are … has changed … If you change the person responsible for compliance and internal control in your company, you must … amf-france.org Are you changing your Investment Services Compliance Officer (RCSI)? Would you like to enrol an … |
06 June 2021 | Policy | Position DOC-2021-04 The AMF applies all the guidelines issued by ESMA on "certain aspects of the MiFID II compliance function requirements" (ESMA-35-36-1952).… Compliance function requirements … Other professionals Investment management companies Compliance Asset management Policy The AMF applies all the … issued by ESMA on "certain aspects of the MiFID II compliance function requirements" (ESMA-35-36-1952). … Textes … |
02 June 2020 | Acteur liste noire | compliance-partners.fr … compliance-partners.fr … compliance-partners.fr Usurpation compliance-partners.fr … /en/compliance-partnersfr … compliance-partners.fr … … |
01 August 2014 | Policy | Position DOC-2012-17 … Compliance function requirements … Investment services providers Compliance Policy The AMF applies the ESMA guidelines on the compliance function (ESMA/2012/388). These guidelines are … End of applicability on 05 June 2021 |
22 April 2024 | Policy | Instruction DOC-2011-19 … 62 Annex X – Model prime broker compliance letter … 1 File an authorisation application for a UCITS 2 Compliance verification Acknowledgement of receipt of the … Possible rejection of the application in the event of non-compliance with the authorisation procedure for a … |
22 April 2024 | Policy | Instruction DOC-2011-20 … management of multiple changes Annex X - Prime broker compliance letter template Annex XI - Notification form: … 1 Files an authorisation application for an AIF 2 Checks compliance of the application Acknowledges receipt of the … applicant May reject the application in the event of non-compliance with the fast-track authorisation process for a … |
22 April 2024 | Policy | Instruction DOC-2011-22 … application for a retail private equity investment fund 2 Compliance verification Acknowledgement of receipt of the … in the light of its analysis of the proposed change’s compliance, this application will be the subject of a … accounting Commitment by the management company to ensure compliance with its programme of operations - Guarantor X x … |
22 April 2024 | Policy | Instruction DOC-2011-21 … application for an employee investment undertaking 2 Compliance verification Acknowledgement of receipt of the … Commitment by the asset management company to ensure compliance with its programme of activity x Delegation to a … Commitment by the asset management company to ensure compliance with its programme of activity - Guarantor x x … |
22 April 2024 | Policy | Instruction DOC-2012-06 … that the depositary, the statutory auditor and the compliance and internal control officer of the management … may be delivered by any means including email subject to compliance with the provisions of Article 314-28 of the AMF … that the depositary, the statutory auditor and the compliance and internal control officer of the management … |
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