01 January 2024 | Policy | Instruction DOC-2019-23 … providers … Fintech Crypto-assets Regulatory developments Policy AMF instruction DOC-2019-23 specifies the information … and CV of the person responsible for periodic control. Resources: Provide a forecast of changes to the workforce … minimum level of equity required; - a description of the human and technical resources allocated to the various … |
14 December 2023 | Policy | Position - Recommendation DOC-2012-19 … … Investment management companies Organisational rules Policy The position-recommandation DOC-2012-19 outlines how … 23 3.2.1. Human resources … This translation is for information purposes only 3.2.1. Human resources Presentation of the human resources In … |
02 November 2023 | Annual Report | AMF Social and Environmental Responsibility Report This 1st report on the AMF's social and environmental responsibility is both a stocktaking of the AMF's commitment to sustainable development and a starting point for future action. It lists the actions undertaken by the AMF in terms of employer, environmental and citizen responsibility.… Responsibility Report … Institutional … AMF activity … Human Resources policy … |
25 October 2023 | Public statements | Closing speech by Marie-Anne Barbat Layani, AMF Chair - 16th Seminar of the Enforcement Committee, Thursday 12 October 2023 … found. In fact, the Board has strongly pursued a policy of demanding high financial sanctions when faced with … investigation. When the AMF has had to commit significant resources, particularly human resources, it has been recognised that it can obtain … |
02 October 2023 | Policy | Position - Recommendation DOC-2019-16 DOC-2019-16 sets out the due diligence obligations with regard to clients and their beneficial owners, as provided by Articles L. 561-4-1 and following of the Monetary and Financial Code, taking account of the essential contributions of the 4th directive and 5th directive, and notably the reinforcement of the risk-based approach, the distinction…… … Investment services providers Anti-money Laundering Policy The Guidelines help clarify the due diligence … and any partners, and the physical, financial and human resources put in place to achieve the business plan. With … |
30 July 2023 |
| Article 721-3 Book VII - Token Issuers and Digital Assets Services Providers > Title II - Digital Assets Services Providers > Chapter I - Registration requirements, license requirements and common provisions applicable to licensed digital assets services providers > Section 2 - License requirements… geographic breakdown of its activities; The systems and resources put in place to comply with the provisions of … certificate and a professional indemnity insurance policy, if applicable, or any other means of ensuring that … the minimum level of equity required; A description of the human and technical resources allocated to the various … |
12 June 2023 | AMF news release | The AMF publishes a summary on the internal processes that aim to ensure compliance with non-financial contractual commitments by asset management companies of ESG/SRI funds The Autorité des Marchés Financiers has published a summary of a study and its findings following a series of short thematic inspections called SPOT. The study analyses the responses to a detailed questionnaire from 176 generalist portfolio asset management companies (AMCs) that have at least one contractual non-financial commitment for at least…… interest to the AMF included: the organisation and resources used for ESG/SRI management; the ESG management and … inspected had put in place important and increasing human and technical resources to define, review, manage and … the investment universe is consistent with the fund's ESG policy. The results of the questionnaire were similar (50% of … |
16 May 2023 | Policy | Instruction DOC-2014-01 … AMF … Investment services providers Organisational rules Policy For investment services providers other than … 6 Article 5 - Description of human resources … of the AMF General Regulation. Article 5 - Description of human resources The application shall include a detailed … |
16 February 2023 | Policy | Position DOC-2008-14 … structures … Investment management companies UCIT Policy The DOC-2008-14 position provides details for fund … programme or in an update its organisation as well as the human and technical resources dedicated to this type of swap. The authorisation … |
10 January 2023 | Article | Our priorities for Action and Supervision Each year, the AMF publishes its action and supervisory priorities. In 2023, our focus will be on four main areas: promote finance that meets the new expectations of retail investors, take up European and international challenges, develop the regulatory framework for sustainable finance and combat greenwashing, ensure robust and efficient…… 2023-2027. We will also continue to develop enforcement policy and tools to keep pace with changing behaviours. We … delegations, and more specifically the governance and human resources of investment management companies and risk control … |
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