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Titre clair et concis du tableau12 June 2023 | News | MiFID II suitability assessment: the AMF applies the updated ESMA guidelines The Autorité des Marchés Financiers (AMF) has published an update to its Position DOC-2019-03 to incorporate updates to the guidelines issued by the European Securities and Markets Authority (ESMA) on certain aspects of the MiFID II suitability requirements. The AMF also updaties its Position-Recommendation DOC-2006-23 to extend the scope of these… … its guidelines on suitability assessment when providing investment advice or portfolio management services to reflect: the publication of Delegated Regulation … which came into force on 2 August 2022 and requires investment service providers to collect any sustainability … |
22 May 2023 | News | MiFID II remuneration requirements: the AMF applies the ESMA Guidelines The Autorité des Marchés Financiers (AMF) has published a Position DOC-2023-03 to incorporate the guidelines of the European Securities and Markets Authority (ESMA) on certain aspects of the MiFID II remuneration requirements. This position will come into force on October 3rd, 2023. … issued in application of the conflicts of interest rules. Investment service providers - hereafter "ISP", including asset management companies that provide investment services, are thus required to develop and implement … |
16 May 2023 | News | Reporting under Article 29 of the Energy-Climate Law: the AMF updates its policy on how to prepare and submit reports Following the approval of amendments to its General Regulation, the AMF has updated its policy to specify the procedures for preparing and submitting the report required under Article 29 of the Energy-Climate Law (LEC 29) from investment services providers (ISPs), including asset management companies. … … AMF Instruction DOC-2008-03: Authorisation procedure for investment management companies, disclosure obligations and … AMF Instruction DOC-2014-01: Programme of activity of investment services providers and information provided to the AMF (in … |
16 May 2023 | Policy | Instruction DOC-2014-01 … Programme of activity of investment services providers and information provided to the AMF … Investment services providers Organisational rules Policy For … |
08 May 2023 | | Article 314-32 Book III - Service providers > Title I - Investment services providers > Chapter IV - Conduct of business rules > Section 9 - Reporting to the AMF … … Within six months of the end of the financial year, investment services providers shall send the AMF, in accordance with … Article L. 621-8-4 of the Monetary and Financial Code, the investment services providers referred to in the first … |
27 April 2023 | AMF news release | Provision of market data: the AMF conducts a series of SPOT inspections and identifies shortcomings in compliance with requirements The AMF has published a summary of the findings of a series of short, thematic inspections of four firms providing market data. Four years after the entry into force of the obligations imposed by the Markets in Financial Instruments Regulation (MiFIR), the AMF has identified shortcomings in their compliance with the requirements of the European… … portfolios, selecting financial products in the context of investment advisory services, and receiving and transmitting orders on behalf of … … AMF news release … Other professionals … Journalists … Investment services providers … Provision of market data: the … |
18 April 2023 | 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. … of knowledge … Professionals concerned by this system … Investment service providers, including portfolio asset management companies and financial investment advisors, must check that the persons performing … advice or information on financial instruments, investment services or ancillary services for clients; Manager: any … |
06 April 2023 | Warning | The AMF and the ACPR warn the public against the activities of several entities offering in France investments in Forex and in crypto-assets derivatives without being authorized to do so With the objective of protecting investors, the Autorité des Marchés Financiers (AMF) and the Autorité de Contrôle Prudentiel et de Résolution (ACPR) regularly update their black lists of websites identified as offering investments in the unregulated foreign exchange (Forex) market and in derivative products whose underlying assets include crypto… … that the intermediary offering you financial products or services is authorized to operate in France, you may consult the register of authorized investment service providers (https://www.regafi.fr) or the list of authorized intermediaries in the financial investment advisor (FIA) or crowdfunding (CIP) categories … |
07 March 2023 | AMF news release | Mystery shopping campaign to bank branches: progress made in the questioning to client, improvements needed in the information provided The new AMF mystery shopping campaign, carried out for the first time as part of a European exercise coordinated by ESMA, shows that institutions are conducting a more in-depth analysis of the situation of future clients than in the previous wave. However, there is still significant work to be done on how fees are presented and on providing… … the mystery visitor was aged around 40 and was seeking investment advice after receiving a donation of up to … period, in preparation for retirement. MiFID II requires investment services providers to collect information from their clients … |
02 March 2023 | Warning | The AMF warns the public about fraudulent investment offers through trading robots The Autorité des marchés financiers (AMF) is calling on the public to be extremely vigilant regarding automated Forex trading offers from entities that are not authorised to provide investment services in France. These offers also rely on affiliate programs and particularly target the French overseas departments and territories. … The AMF warns the public about fraudulent investment offers through trading robots … In recent months, … The AMF stresses that only companies authorised as investment services providers in Europe are allowed to offer brokerage … |
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