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Titre clair et concis du tableau26 April 2022 | In-depth | AMF Examination: Test of Minimum Knowledge Who are the professionals concerned by the test of minimum knowledge regarding the financial, regulatory and ethical environment? What is the difference for employees between the internal test and the AMF examination? Find all the useful information here. investment decisions under an individual management mandate or as part of the management of one or more |
21 March 2022 | Policy | Position - Recommendation DOC-2012-19 The position-recommandation DOC-2012-19 outlines how to complete the sections of the autorization application (including the program of operations) and complementary sheets. In particular it provides specific instructions on the "four eyes" (quatre yeux) rule, access to (information on) the position of the market member, the credit analysis,… portfolio (individual mandates) or from managing any other collective investment, including AIFs |
21 March 2022 | Policy | Position - Recommendation DOC-2014-06 of loss for the collective investment scheme or the individual portfolio from the fact |
11 March 2022 | Ombudsman’s Blog | Not being able to subscribe to a fund does not necessarily imply a refusal to sell Some funds are strictly reserved for professional clients, and clients who do not meet the subscription conditions required by the fund cannot acquire units, even if they want to. It is this particular case that I will present to you in this month's issue. , such as a private individual, to opt for the status of professional client. The investment service provider must |
01 September 2021 | Policy | Instruction DOC-2011-19 The AMF details the rules that apply to French UCITS and foreign UCITS distributed in France as regards the approval procedure, the drafting of a key investor information document (KIID) and a prospectus, and periodic reporting. Clarifications are provided about the creation of a French UCITS, changes during the life of UCITS, and the requirements… Investment management companies UCIT Prospectus Policy The AMF details the rules that apply |
23 June 2021 | Ombudsman’s Blog | In a management mandate, clients may not base their claims on the fact that they have not given any instructions Retail investors can decide to be independent and manage their securities portfolio themselves. In this case, they should be able to understand the meaning of the different types of orders that exist (e.g. "market order", "limit order" etc.) and to react to market fluctuations.
They may also opt for a discretionary mandate. In this case, their… In a management mandate, clients may not base their claims on the fact that they have not given any |
05 March 2021 | Policy | Instruction DOC-2019-04 of the SCPI, SEF or GFI. The amount required by the investment management company is indicated in the mandate |
18 January 2021 | Policy | Position - Recommendation DOC-2019-15 provided (for example, individual asset management, order reception-transmission, investment advice |
14 January 2021 | Article | The AMF Board The Board is the AMF’s main decision-making and prosecuting authority Chaired by Robert Ophèle since August 2017, it has 16 members drawn from a broad variety of backgrounds. This multidisciplinarity ensures that it has the technical and legal expertise needed to carry out its tasks. Take individual decisions |
28 December 2020 | Enforcement Committee news releases | The AMF Enforcement Committee fines a management company and its chairman for breaches of their professional obligations In its decision of 18 December 2020, the Enforcement Committee issued a warning to a management company in compulsory liquidation and its chairman for breaching several of their professional obligations. in the supervision and control of its individual management mandate process. It established that the company had |
