24 January 2015 | General regulation | General regulation of the AMF into force from 24/01/2015 to 07/05/2015 … the following condition ding involves staff members with resources, objectives and responsibilities that are distinct … for the association; code of conduct; ription of the human and technical resources that will enable the … are res rovider, for implementing the general investment policy set forth in the SICAV's p b) overse c) is resp ticle … |
22 January 2015 | General regulation | General regulation of the AMF into force from 22/01/2015 to 23/01/2015 … the following condition ding involves staff members with resources, objectives and responsibilities that are distinct … for the association; code of conduct; ription of the human and technical resources that will enable the … are res rovider, for implementing the general investment policy set forth in the SICAV's p b) overse c) is resp ticle … |
01 August 2014 | Policy | Position DOC-2012-17 … requirements … Investment services providers Compliance Policy The AMF applies the ESMA guidelines on the compliance … a risk-based approach in order to allocate the function’s resources efficiently. A compliance risk assessment shall be … 5.1. General guideline 5 When ensuring that appropriate human and other resources are allocated to the compliance … End of applicability on 05 June 2021 |
10 October 2013 | General regulation | General regulation of the AMF into force from 10/10/2013 to 20/12/2013 … . . . . . . . . . . . . . . . . . . . 134 Sub-section 1 - Resources and management organisation . . . . . . . . . . . . … . . . . . . . . . . . . . 156 Sub-section 2 - Remuneration policy within the framework of AIF management .156 … 4° a draft code of conduct; 5° a description of the human and technical resources that will enable the … |
22 September 2013 | General regulation | General regulation of the AMF into force from 22/09/2013 to 09/10/2013 … . . . . . . . . . . . . . . . . . . . 134 Sub-section 1 - Resources and management organisation . . . . . . . . . . . . … . . . . . . . . . . . . . 156 Sub-section 2 - Remuneration policy within the framework of AIF management .156 … 4° a draft code of conduct; 5° a description of the human and technical resources that will enable the … |
14 August 2013 | General regulation | General regulation of the AMF into force from 14/08/2013 to 21/09/2013 … . . . . . . . . . . . . . . . . . . . 134 Sub-section 1 - Resources and management organisation . . . . . . . . . . . . … . . . . . . . . . . . . . 156 Sub-section 2 - Remuneration policy within the framework of AIF management .156 … 4° a draft code of conduct; 5° a description of the human and technical resources that will enable the … |
14 July 2013 | General regulation | General regulation of the AMF into force from 14/07/2013 to 13/08/2013 … . . . . . . . . . . . . . . . . . . . 132 Sub-section 1 - Resources and management organisation . . . . . . . . . . . . … . . . . . . . . . . . . . . . . 288 Section 2 - Commercial policy . . . . . . . . . . . . . . . . . . . . . . . . . . . … 4° a draft code of conduct; 5° a description of the human and technical resources that will enable the … |
18 June 2013 | General regulation | General regulation of the AMF into force from 18/06/2013 to 13/07/2013 … . . . . . . . . . . . . . . . . . . . 132 Sub-section 1 - Resources and management organisation . . . . . . . . . . . . … . . . . . . . . . . . . . . . . 288 Section 2 - Commercial policy . . . . . . . . . . . . . . . . . . . . . . . . . . . … 4° a draft code of conduct; 5° a description of the human and technical resources that will enable the … |
19 April 2013 | General regulation | General regulation of the AMF into force from 19/04/2013 to 17/06/2013 … . . . . . . . . . . . . . . . . . . . 132 Sub-section 1 - Resources and management organisation . . . . . . . . . . . . … . . . . . . . . . . . . . . . . 287 Section 2 - Commercial policy . . . . . . . . . . . . . . . . . . . . . . . . . . . … 4° a draft code of conduct; 5° a description of the human and technical resources that will enable the … |
16 March 2013 | General regulation | General regulation of the AMF into force from 16/03/2013 to 18/04/2013 … . . . . . . . . . . . . . . . . . . . 132 Sub-section 1 - Resources and management organisation . . . . . . . . . . . . … . . . . . . . . . . . . . . . . 283 Section 2 - Commercial policy . . . . . . . . . . . . . . . . . . . . . . . . . . . … 4° a draft code of conduct; 5° a description of the human and technical resources that will enable 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