26 November 2020 | AMF news release | Asset management: the AMF finds the effectiveness of internal control outsourcing processes to be too disparate As part of its SPOT thematic inspections, the AMF examined how seven asset management companies (AMCs) outsourced internal control to three firms. The inspections were aimed at encouraging good practice in the selection and monitoring of service providers, and in the periodic review of the quality of their work.… of the AMCs (selection of the service provider, resources allocated, scope of outsourcing, governance, etc.); … AMC to another. In all but two cases, the allocation of human resources corresponds to or exceeds what is provided … To improve practices, the AMF will therefore clarify its policy. … About the AMF … The AMF is an independent public … |
23 November 2020 | Policy | Instruction DOC-2020-04 … providers Investment advice Professional certification Policy … Textes de référence … Articles 325-36, 325-37, … to the withdrawal of membership of the association, - the human resources dedicated to verification of the members and … |
27 July 2020 | Policy | Position - Recommendation DOC-2014-07 Best execution consists of obtaining, when executing orders, the best possible result for clients. The Autorité des marchés financiers (AMF) updates the English version of its position-recommendation DOC-2014-07 on this subject.… to best execution … Investment services providers MIFID Policy The position-recommandation DOC-2014-07 clarifies as a … to existing arrangements, such as a material change in the human or technical resources that the company relies on to provide best … |
11 March 2020 | Policy | Instruction DOC-2017-06 … assets … Other professionals Miscellaneous assets Policy Instruction DOC-2017-06 provides details on the rules … seq. of the Monetary and Financial Code. It indicates the resources which the intermediaries in miscellaneous assets … contains a description of the material, financial and human resources available to the intermediaries in question. … |
17 January 2020 | Public statements | Speech by Robert Ophèle, AMF Chairman - 2020 New year wishes - Wednesday 8 January - Palais Brongniart Check against delivery… corrected and the return of a very accommodative monetary policy, even in areas such as the United States which … to conclude with a word about the adaptation of the AMF’s human and financial resources, because it is you, the financial community, that … |
10 January 2020 | Article | Our job offers To accomplish our objective, we rely on the skills and experience of more than 500 staff members. Our values are independence, open-mindedness and commitment.… Our job offers … Join us for a human and professional experience of excellence. See our job … … Our job offers … Article … Candidates … Our job offers … Human Resources policy … |
16 December 2019 | AMF news release | The AMF publishes a review of its thematic inspections of the cybersecurity systems in place in asset management companies In accordance with its supervision priorities for the current year, the Autorité des Marchés Financiers reviewed the cybersecurity systems of five asset management companies. Based on its observations, it highlights the good practices noted.… the organisation of cybersecurity systems with regard to human and technical resources; the governance of these systems; the Information … and (ii) critical systems, and of a data classification policy, leading to a risk of partial coverage of major risks … |
06 September 2019 | Policy | Instruction DOC-2014-11 Pending AMF authorisation of one or more associations of crowdfunding investment advisers (CIAs), the AMF shall review the professional skills and ability of applicants to comply with the business conduct and organisational rules provided for in the AMF General Regulation. The AMF will conduct its review on the basis of an application file whose…… said advisers … Other professionals Disclosure Obligations Policy This page is not available in English Book 3 … of interest. The applicant must describe the standing resources put in place to manage and monitor its activity … should also include an overview of the following points: Human resources: - Number of employees and, where applicable, … End of applicability on 10 November 2023 |
15 March 2018 | Public statements | Speech by Robert Ophèle, AMF Chairman - 'From Brexit to financial innovations, new challenges for financial regulation', OMFIF - Official Monetary and Financial Institutions Forum - 15 March 2018 … spent at the French central bank devoted to monetary policy and banking supervision, I joined the financial … thus allowing a large pool of capital, liquidity and human expertise to build up. If one supports this line of … any plausible metric of objective performance, regulatory resources, enforcement efforts, objective indicia of market … |
23 February 2018 | News | Classification of financial instruments as 'simple' or 'complex' as regards organisational rules for asset management companies: the AMF updates its policy The AMF has amended its policy to propose a simpler and clearer methodology for assessing whether financial contracts and financial securities incorporating a financial contract are 'simple' or 'complex', as regards the management company's organisation and human resources. The Authority has also clarified the characteristics of strategies that…… rules for asset management companies: the AMF updates its policy … How to assess the complexity of a financial contract … as regards the management company's organisation and human resources. The Authority has also clarified the … |
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