09 February 2022 | Ombudsman’s Blog | IPOs: the loss may be more than just the non-execution of the subscription order When an IPO subscription order is not executed on account of an error acknowledged by the account keeper, the compensation for the loss suffered requires the parties to be placed in the situation in which they would have been if the error had not occurred, and also the investor's profile and usual behaviour to be taken into account, as we will see…… than just the non-execution of the subscription order … Corporate action … |
05 January 2022 | AMF news release | The AMF publishes its priorities for 2022, the last year of its five-year strategy The AMF's actions in the coming months will focus on four main areas: Europe, retail investment, sustainable finance and the modernisation of its regulatory action.… and the regulatory challenges ahead. … Priorities for action … The AMF's priorities for action for 2022 continue to be shaped by the #Supervision2022 … … valuation of illiquid assets such as real estate or corporate bonds, compliance with constraints and contractual … |
29 October 2021 | Policy | Recommendation DOC-2021-06 … Listed companies and issuers Financial disclosures & corporate financing Periodic & ongoing disclosures Covid-19 … https://www.esma.europa.eu/policy-activities/corporate-disclosure/european-single-electronic-format … period). 29% of the examinations led to no specific action (15% last year). Oct. 2019 to Sept. 2020 Oct. 2020 to … |
13 September 2021 | Ombudsman’s Blog | Securities transactions: the importance of providing information about the possible reply procedures When an event, such as the payment of a dividend in cash or in new shares, a capital increase, or a public offer, that requires the transmission of instructions from the shareholder interested in a securities transaction occurs in the life of a financial instrument, the account-keeping firm must ensure that the terms and conditions for responding…… information about the possible reply procedures … Corporate action … |
29 July 2021 | Bilateral MoU | SEC-2021- MoU to allow French Security Based Swap Dealers (SBSD) to benefit from a substituted compliance regime Memorandum of understanding between the Securities and Exchange Commission of the United States, the Autorité des marchés financiers of France and the Autorité de contrôle prudentiel et de résolution of France, concerning consultation, cooperation and the exchange of information related to the Supervision and oversight of certain cross-border over…… does not include any information or document or action which is in the sole remit of the ECB/SSM or otherwise … and funding profiles, reports of capital reserves, and corporate information. It is anticipated that such requests … and funding profiles, reports of capital reserves, and corporate information. It is anticipated that such requests … |
29 April 2021 | Policy | Instruction DOC-2011-04 … transfer of shares. … Listed companies and issuers Corporate action Financial disclosures & corporate financing Policy This page is not available in … |
29 April 2021 | Policy | Recommendation DOC-2012-05 … could cover agreements concluded both within and outside a corporate group. Proposition 20 - Have companies establish an … 17 November 2016, the AMF published its annual report on corporate governance and executive remuneration. Paragraph … shareholders acting in concert, especially when this action includes a policy of voting together, should not have … |
29 April 2021 | Policy | Position - Recommendation DOC-2017-04 … … Listed companies and issuers Financial disclosures & corporate financing Corporate action MAR Policy This page is not available in English … |
15 April 2021 | AMF news release | The AMF identifies five areas requiring in-depth review to enable financial markets to finance economic recovery On the occasion of the publication of its annual report, AMF Chairman Robert Ophèle highlights the regulator’s strong engagement throughout the coronavirus epidemic and the lessons to be learnt from this period, as well as the unprecedented situations experienced in 2020, to enable financial markets to contribute fully to the financing of the…… is an opportunity to look back in detail at the AMF’s action during this troubled period and to discuss the … of 118 companies studied by the AMF in its report on corporate governance and executive compensation published … service provider (DASP) licensed / authorized in 2020 … Corporate financing and disclosures … 290 corporate finance … |
07 April 2021 | Public statements | Speech by Robert Ophèle, AMF Chairman - AMF 2021 International Seminar - 16 March 2021 … in response to expected economic concerns. The AMF took action very early on in the crisis to ensure the orderly … in autumn 2020 of the European Commission’s new action plan. The AMF welcomes this initiative, which lends … of this new framework. We also need to strengthen corporate ESG disclosures. The TCFD framework has been … |
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