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Titre clair et concis du tableau29 October 2020 | Ombudsman’s Blog | In the event of an incomplete questionnaire, the bank must alert its clients but transmit their stock exchange orders MiFID II increased the obligations of investment services providers (ISPs) regarding the assessment of their clients: more than ever, the ISPs must make sure that the planned product or service corresponds to their clients' profile. However, to do so, they must have the necessary information. Now, in some cases a client refuses to fill in the… … that his bank also allowed the opening of a "PEA" personal equity savings plan and that it accordingly very quickly … |
28 October 2020 | Policy | Recommendation DOC-2020-09 … Licenses, brands, etc. Investment consolidated under the equity method Impairment test methodology Multiple scenarios … |
09 October 2020 | Public statements | Speech by Robert Ophèle, AMF Chairman – 2020 CMVM Annual Conference - « Financial stability – the perspective of the non-banking financial sector » - 8 October 2020 … - with high levels of volatility - record volumes of equity trades with, for example, a peak of €11 billion daily … |
07 October 2020 | Public statements | Keynote speech by Robert Ophèle, AMF Chairman - AFME’s 4th Annual European Compliance and Legal Virtual Conference – 7 October 2020 … important review reports on the transparency regime for equity and for non-equity instruments. After the time for implementation of this … are not really where we wanted to be. If, as regards the equity market, we may be getting closer, the non-equity … |
30 September 2020 | News | The European Commission's new action plan for the Capital Markets Union On 24 September, the European Commission announced its new action plan for strengthening the Capital Markets Union. Following an initial action plan presented in 2015 and implemented in the intervening period, this new initiative aims to drive progress towards creating a single market for financial services. … new action plan for the Capital Markets Union … Equity … Sustainable Finance … |
29 September 2020 | AMF news release | The AMF publishes the findings of its SPOT inspections on the valuation of complex financial instruments As part of its short thematic inspections of the practices of asset management companies, the AMF examined how the valuation of complex financial instruments is organised within five companies and the second-level controls they have implemented. In a summary document, the AMF offers an insight into the good and poor practices encountered with a… … of SPOT inspections on the valuation systems of private equity firms (summary published in December 2018), the AMF … |
29 September 2020 | Spot Inspections | Summary of SPOT inspections on valuation of complex financial instruments As announced in the AMF’s presentation of its supervision priorities for 2019, the last series of SPOT inspections of asset management companies (AMCs) in 2019 focused on the valuation of complex financial instruments (CFIs). European Directive 2011/61/EU on Alternative Investment Fund Managers (the AIFM directive) introduced specific obligations… … carried out in 2018 on valuation systems within private equity firms. This series follows the same logic by looking … carried out in 2018 on valuation systems within private equity firms. This series follows the same logic by looking … |
14 September 2020 | AMF news release | Launch of the "Rendez-Vous de l’Épargne" This autumn, as part of the national strategy for financial education, the Autorité de Contrôle Prudentiel et de Résolution (ACPR) and the Autorité des Marchés Financiers (AMF), with the support of Banque de France, will be organising a series of conferences on the subject of savings all across France. These "Rendez-Vous de l’Épargne" events have… … new retail investors have joined or returned to the equity markets. It is important to support these new … investors can also contribute to the effort to boost the equity of companies, which is one of the central challenges … |
30 July 2020 | News | The AMF releases a study on liquidity management tools and their implementation in French funds Over the past few years, international organizations have raised their expectations concerning investment funds’ liquidity risk management, and have advocated for the availability of LMTs in each jurisdiction. In 2017 and 2018, the AMF introduced the possibility for all funds to implement gates and clarified the regulatory framework governing… … of AIFs ; Anti-dilution levies were mentioned more by equity funds (7% of the total net assets) than by other types … |
29 July 2020 | Ombudsman’s Blog | Ban on short selling: who was supposed to apply it and to which securities? In light of the Covid-19 epidemic and its impact on financial markets, the AMF decided in mid-March to impose a temporary ban on short selling[1] and, more generally, on strategies aiming to profit from the fall in the price of an equity. Although this exceptional measure was suspended on 18 May,[2] investors are still likely to send me requests… … likely to create or increase a net short position on an equity subject to the ban. The intermediary is not … aware of any net short positions you might hold on each equity. … It is therefore your responsibility to make sure … aiming to profit from the fall in the price of an equity. Although this exceptional measure was suspended on 18 … |
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