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Titre clair et concis du tableau04 August 2022 | Article | Photos & CVs and investment banks. In 1991, she became a partner and developed the firm’s Securities, Risk, Compliance |
04 August 2022 | Article | The AMF Board The Board is the AMF’s main decision-making and prosecuting authority It has 16 members drawn from a broad variety of backgrounds. This multidisciplinarity ensures that it has the technical and legal expertise needed to carry out its tasks. on the compliance of takeover bids involving listed companies, authorisations for management companies (without |
28 July 2022 | AMF news release | The AMF is conducting a consultation on the end of life of private equity funds intended for retail investors The AMF is conducting a consultation in order to adapt the regulatory framework of the end of life of private equity funds intended for retail clients, with a view to strengthening investor protection and creating a framework facilitating compliance with the initial liquidation dates of these funds. , whose compliance is the responsibility of the asset management company, is regularly exceeded |
25 July 2022 | Enforcement Committee news releases | The AMF Enforcement Committee fines a depositary for breaches of its professional obligations In its decision of 20 July 2022, the Enforcement Committee imposed a fine of €500,000 and a warning to RBC Investor Services Bank France SA (“RBC ISBF”) for failing to exercise proper depositary control and for irregular and deficient monitoring of certain cash flows. … its professional obligations … Sanctions & settlements … Compliance … |
20 July 2022 | Article | Obtaining a DASP registration/optional licensing Do you want to know in which cases registration with the AMF as a Digital Asset Service Provider (DASP) is mandatory? To obtain an optional licensing? You will find all the information on the subject here, together with the list of registered DASPs and the list of DASPs licensed by the AMF. of the managers and beneficial owners; compliance by the DASP with the regulations on combating money laundering |
18 July 2022 | Enforcement Committee news releases | The AMF Enforcement Committee fines a portfolio asset management company for breaches of its professional obligations Please note that the French version of this press release was published on 11 July 2022.
In its decision of 6 July 2022, the Enforcement Committee imposed a fine of €200,000 on 123 Investment Managers. In its decision of 6 July 2022, the Enforcement Committee imposed a fine of €200,000 on 123 Investment Managers. inaccurate regulatory references and did not specify the controls carried out by the compliance and internal |
13 July 2022 | AMF news release | Publication of the SPOT inspection campaign summary on market abuse prevention systems in asset management companies The purpose of these SPOT investigations was to analyse the systems for preventing, monitoring, detecting and reporting of market abuse among five asset management companies (AMCs). The work carried out by the inspection task force did not identify any particularly serious breaches. Nevertheless, the AMF calls on AMCs to improve their market abuse… the compliance and internal control officer as responsible for the market abuse prevention system. The AMF notes |
12 July 2022 | Article | How to get the RCCI professional licence Are you changing your Compliance and Internal Control Officer (RCCI)? Would you like to enrol an employee for the AMF training and/or examination to obtain the RCCI professional licence? You will find all the information you need to report the change and about the RCCI licence here. When you change your Compliance and Internal Control Officer, you must apply for the professional |
22 June 2022 | News | The AMF ensures compliance with major holding reporting obligations The Autorité des Marchés Financiers (AMF) has obtained an injunction from the Paris Tribunal Judiciaire requiring Dynamic Treasure Group Limited, a company based in the British Virgin Islands, to comply with its obligations to report major holdings and intentions in relation to SMCP. The AMF ensures compliance with major holding reporting obligations |
15 June 2022 | AMF news release | The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment publishes its 2021 annual report In a highly dynamic capital markets environment, the Joint Unit of the Autorité de Contrôle Prudentiel et de Résolution (ACPR) and the Autorité des Marchés Financiers (AMF) continued its theme-based work in 2021, and also continued to monitor and oversee commercial practices. The two authorities also stepped up their cooperation in the fight… and cases of non-compliance with regulations on customer information and informed consent. It also |
