19 April 2013 |
| Article 322-72 Book III - Service providers > Title II - Other service providers > Chapter I - Custody account-keepers > Section unique - Provisions relating to custody account-keeping - terms of reference for the custody account-keeper > Sub-section 4 - Professional obligations of the issuer entities considered in their capacity as custody account-keepers and…… will charge an employee, appointed by name, to ensure compliance with the rules applicable to the activity of … will charge an employee, appointed by name, to ensure compliance with the rules applicable to the activity of … |
19 April 2013 |
| Article 322-80 Book III - Service providers > Title II - Other service providers > Chapter I - Custody account-keepers > Section unique - Provisions relating to custody account-keeping - terms of reference for the custody account-keeper > Sub-section 5 - Provisions relating to the keeping of securities accounts within the framework of an employee savings scheme …… and the depository to organise the financial flows, in compliance with the deadlines for settlement announced in the … and the depository to organise the financial flows, in compliance with the deadlines for settlement announced in the … |
19 April 2013 |
| Article 322-81 Book III - Service providers > Title II - Other service providers > Chapter I - Custody account-keepers > Section unique - Provisions relating to custody account-keeping - terms of reference for the custody account-keeper > Sub-section 5 - Provisions relating to the keeping of securities accounts within the framework of an employee savings scheme …… Where the custody account-keeper is caused to complete, in compliance with the regulations in force, a transfer of units … Where the custody account-keeper is caused to complete, in compliance with the regulations in force, a transfer of units … |
16 March 2013 | General regulation | General regulation of the AMF into force from 16/03/2013 to 18/04/2013 … investment services providers . . . . 80 Sub-section 1 - Compliance system . . . . . . . . . . . . . . . . . . . . . . … . . . . . . . . . . . . 97 Sub-section 5 - Organisation of compliance and internal control functions . . . . . 98 … 4 - Procedures for supervising the legal and regulatory compliance of the decisions made by the collective investment … |
03 March 2013 | General regulation | General regulation of the AMF into force from 03/03/2013 to 15/03/2013 … deems necessary to ensure that members of the AMF are in compliance with these provisions. To that end, members must … establish and maintain a procedure setting forth how the compliance officer is to be informed of the poll and, … In this case, the services provider shall: 1° Inform its compliance officer; 2° Inform each investor it intends to … |
03 March 2013 |
| Article 511-4 Book V - Market infrastructures > Title I - Regulated markets and market operators > Chapter I - Market operator and recognition of regulated markets > Section 1 - Procedures for recognising regulated markets… market it manages; arrangements for monitoring the compliance of its business and staff; that the market … market it manages; arrangements for monitoring the compliance of its business and staff; that the market … |
26 October 2012 | General regulation | General regulation of the AMF into force from 26/10/2012 to 02/03/2013 … deems necessary to ensure that members of the AMF are in compliance with these provisions. To that end, members must … establish and maintain a procedure setting forth how the compliance officer is to be informed of the poll and, … In this case, the services provider shall: 1° Inform its compliance officer; 2° Inform each investor it intends to … |
11 October 2012 | Policy | Recommendation DOC-2012-14 … 67 2.2.3 Summary presentation of compliance with the recommendations of the AFEP/MEDEF code 67 … by the code. Only Publicis fails to declare this non-compliance, while Natixis provides more of a description than … – Areva, CNP Assurances and EDF – fail to report this non-compliance. AMF Recommendation 2012-14 / 2012 AMF annual … |
01 October 2012 | General regulation | General regulation of the AMF into force from 01/10/2012 to 10/10/2012 … deems necessary to ensure that members of the AMF are in compliance with these provisions. To that end, members must … establish and maintain a procedure setting forth how the compliance officer is to be informed of the poll and, … In this case, the services provider shall: 1° Inform its compliance officer; 2° Inform each investor it intends to … |
12 July 2012 | General regulation | General regulation of the AMF into force from 12/07/2012 to 31/08/2012 … deems necessary to ensure that members of the AMF are in compliance with these provisions. To that end, members must … establish and maintain a procedure setting forth how the compliance officer is to be informed of the poll and, … In this case, the services provider shall: 1° Inform its compliance officer; 2° Inform each investor it intends to … |
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