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Titre clair et concis du tableau01 February 2024 | Article | Data Quality: MiFIR transaction reporting (article 26 of MiFIR) – Fields related to the identification of retail investors In the context of a data quality campaign related to the identification of retail investors in MiFIR transaction reporting, AMF has identified frequent mistakes related to:the identification code for retail investors as buyers or sellers (e.g. CONCAT code for French natural persons),their first and last names,their birth date.AMF reminds that… … hereinafter the "Delegated Regulation" and the "Guidance". Compliance with these rules is crucial for the AMF to make … |
31 January 2024 | 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. … licence … Reporting a new RCCI … When you change your Compliance and Internal Control Officer, you must apply for … and two training sessions that lead to awarding the Compliance and Internal Control Officer (RCCI) professional … trouvé cette page utile ? oui non Are you changing your Compliance and Internal Control Officer (RCCI)? Would you … |
26 January 2024 | Policy | Position DOC-2024-01 On January 26, 2024, the AMF declared that it complies with ESMA's Guidelines published on October 23, 2023 on EMIR reporting. The ESMA guidelines are available at the following links:In French: Orientations ESMA relatives aux déclarations au titre du règlement EMIRIn English:Guidelines ESMA for reporting under EMIR … services providers Investment management companies Compliance EMIR Policy On January 26, 2024, the AMF declared … companies … ESMA’s Guidelines for reporting under EMIR … Compliance … EMIR … |
18 January 2024 | AMF news release | The AMF publishes its action plan and supervisory priorities for 2024 Marie-Anne Barbat-Layani, Chairwoman of the Autorité des marchés financiers (AMF), outlined the AMF’s priorities for the coming twelve months to the press, in line with the “Impact 2027” strategic guidelines defined in 2023. All these priorities reflect the AMF’s commitment to strive each day to protect investors and enhance the attractiveness of… … offers to influence and social networks to ensure compliance with regulations. The AMF intends to lead an … EMIR, SFTR, and CSDR reporting data; Involvement of the compliance function in cross-functional processes relating to … |
01 January 2024 | Policy | Instruction DOC-2012-07 … of the professional. Professionals required to implement a compliance and internal control system must: • implement the … identified through complaints; • in its annual report on compliance and internal control, report on the malfunctions … of the professional. Professionals required to implement a compliance and internal control system must: • implement the … |
01 January 2024 | Policy | Position - Recommendation DOC-2006-23 … In any event, the FIA must be able to demonstrate compliance with the requirements of Article L. 541-6 of the … |
01 January 2024 | Policy | Instruction DOC-2019-24 … Data Protection Regulation (GDPR), in particular regarding compliance with obligations relating to subcontracting and … Data Protection Regulation (GDPR), in particular regarding compliance with obligations relating to subcontracting and … Data Protection Regulation (GDPR), in particular regarding compliance with obligations relating to subcontracting and … |
22 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… … a telephone conversation with the investment services compliance officer (RCSI), who acknowledged that the … |
20 December 2023 | Policy | Position - Recommendation DOC-2020-03 Position-Recommendation DOC-2020-03 sets out the information on the consideration of non-financial criteria that French collective investment undertakings and foreign UCITS authorised for marketing in France may disclose. These provisions are described for the various regulatory documents (key investor information documents, prospectus) and… … to be made a key aspect of product communication. The compliance to the standards mentioned in this guidance does … the name of the product, its marketing materials and KIID: compliance by November 30th 2020 at the latest; b. Prospectus: compliance by March 10th 2021 in line with the date mentioned … |
19 December 2023 | News | Requirements for investment committees and the affiliation of fund managers of asset management companies: the AMF updates its policy Amidst the aftermath of Brexit and the ongoing health crisis, asset management companies with international operations must update their organizational frameworks. Specifically, they need to address the criteria governing the location of fund managers within investment committees, along with the protocols for affiliating specific financial… … that the asset management company remains responsible for compliance with all rules applicable in the countries where … |
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