12 February 2020 | Ombudsman’s Blog | Deferred Settlement Service (SRD): when duly warned clients invest at their own risk - February 2020 The Deferred Settlement Service (SRD)[1] is a service allowing leveraged speculation: it allows clients to execute a transaction on equities listed on Euronext Paris, taking advantage of deferred settlement and delivery in return for the payment of a special commission and the provision of collateral in the form of cash or securities. In this way,… … by successive collateral calls. … Read more … Request for mediation The Deferred Settlement Service (SRD) [1] is a … |
25 January 2020 | Article | Ombudsman online diary overview In May 2014, AMF Ombudsman Marielle Cohen-Branche started up her online diary, in which she reviews and explains the mediation cases referred to her. Each month a new mediation case illustrates the day-to-day work carried out by Marielle and her team of legal experts. … the type of case I deal with. Second, to show what the Mediation mission involves in a concrete, vivid manner. And … up her online diary, in which she reviews and explains the mediation cases referred to her. Each month a new mediation case illustrates the day-to-day work carried out by … |
25 January 2020 | Article | Ombudsman’s recommendation After examining your case, the Ombudsman issues an opinion in accordance with law and equity. … neither the correspondence that took place during the mediation procedure nor the Ombudsman’s recommendation may be … without both parties’ consent. … Read more … Request for mediation After examining your case, the Ombudsman issues an … equity. Ombudsman’s recommendation … /en/amf-ombudsman/how-mediation-works/how-case-dealt/ombudsmans-recommendation … … |
25 January 2020 | Article | Prepare your mediation request The Ombudsman handles complaints and mediation requests in accordance with law and equity, issuing recommendations in order to reach out-of-court settlement and avoid legal proceedings. The mediation procedure is set down in a charter and takes place in several stages. … Prepare your mediation request … To facilitate the handling of your case, … disputed transactions The Ombudsman handles complaints and mediation requests in accordance with law and equity, issuing … out-of-court settlement and avoid legal proceedings. The mediation procedure is set down in a charter and takes place … |
25 January 2020 | Article | What is the Ombudsman’s remit? The AMF Ombudsman can be approached by any saver, retail investor or professional (company, non-profit association, pension fund, etc.) that has an individual dispute with a financial intermediary or an issuer. … the Ombudsman’s remit? … What situations can give rise to mediation? … The Ombudsman can be involved in any dispute … What is the Ombudsman’s remit? … /en/amf-ombudsman/how-mediation-works/what-ombudsmans-remit … The AMF Ombudsman can … … Retail investors … What is the Ombudsman’s remit? … Mediation … |
23 January 2020 | Article | How the case is dealt with? Once the complaint and appended documents have been examined, the Ombudsman may ask the financial intermediary or listed company for its comments and any supporting documents. The Ombudsman examines the evidence and compares the arguments from both sides before examining the merits or each party’s position in light of regulatory requirements and… … Both parties have to remain proactive throughout the mediation procedure, which is never binding. The Ombudsman … impose them. … Suspension of the limitation period … The mediation procedure suspends the limitation period for … How the case is dealt with? … /en/amf-ombudsman/how-mediation-works/how-case-dealt/how-case-dealt … Once the … |
23 January 2020 | Article | How does the mediation procedure work ? The Ombudsman handles complaints and mediation requests in accordance with law and equity, issuing recommendations in order to reach out-of-court settlement and avoid legal proceedings. The mediation procedure is set down in a charter and takes place in several stages. … How does the mediation procedure work ? … Before requesting mediation … Before requesting mediation, you must first write to the investment services … |
23 January 2020 | Article | What are the advantages of the mediation procedure? … What are the advantages of the mediation procedure? … Mediation is: free of charge confidential: the information and documents exchanged during the mediation procedure, the names of the parties involved and … |
20 January 2020 | Article | The Ombudsman presentation If you are having a problem with your financial intermediary or a company that issues securities you have invested in, the AMF Ombudsman and her mediation team are on hand to help you settle the problem amicably and in reasonable time. Mediation is a public service provided free of charge in accordance with law. … legal experts led by François Denis du Péage, head of the mediation unit at the AMF’s Retail Investor Relations … during the previous year. … What are the advantages of the mediation procedure? … Mediation is: free of charge confidential: the information … |
20 December 2019 | Ombudsman’s Blog | Opening a securities account: what are the bank’s anti-money laundering obligations? Opening a securities account is not automatic! In addition to the usual formalities required to open a securities account, the bank must also be able to carry out specific and very stringent due diligence with respect to money laundering, and prospects should be aware of this. This is illustrated by this recent mediation case. … be aware of this. This is illustrated by this recent mediation case. [ 1 ] The entities referred to in Article L. … be aware of this. This is illustrated by this recent mediation case. … Opening a securities account: what are the … |