01 January 2024 | Policy | Instruction DOC-2012-07 … handling system, the procedures to be implemented in order to guarantee efficient, fair and harmonised handling, and a system for tracking these procedures in order to identify and remedy malfunctions. … Textes de … handling system, the procedures to be implemented in order to guarantee efficient, fair and harmonised handling, … |
01 January 2024 | Policy | Position - Recommendation DOC-2006-23 … 2 2.1. In order to fulfil its obligations relating to the prevention of … 2. Obligations for financial investment advisers 2.1. In order to fulfil its obligations relating to the prevention of … products on behalf of a financial investment adviser in order to offer its advice services: - the employees of the … |
22 December 2023 | Ombudsman’s Blog | Failure to reply to a Know Your Customer questionnaire: different consequences depending on whether the questionnaire is intended to assess the client or to combat money laundering The Know Your Customer questionnaires submitted by financial institutions pursue specific objectives in the business relationship between them and investors: to provide a service tailored to their clients and to comply with their anti-money laundering obligations.I had the opportunity to go over these objectives and the different consequences of…… and experience of its clients, which must be completed in order to continue browsing the client area. Institution B … – both at the outset and during the relationship – in order to comply with AML/CFT requirements. Questionnaires are … |
20 December 2023 | Policy | Position - Recommendation DOC-2020-03 Position-Recommendation DOC-2020-03 sets out the information on the consideration of non-financial criteria that French collective investment undertakings and foreign UCITS authorised for marketing in France may disclose. These provisions are described for the various regulatory documents (key investor information documents, prospectus) and…… taken from the reference document for the label18 in order to ensure the clarity and credibility of the approaches … enable investors to understand how the product works. In order to keep the information clear and concise, it is … in the prospectus may nevertheless appear in the KIID in order to contribute to suitable information for the … |
19 December 2023 | Public statements | Closing speech by Marie-Anne Barbat-Layani, AMF Chair - 20 years of the Autorité des Marchés Financiers - Thursday 23 November 2023 … resources and way of thinking to this new environment. In order to be more effective, we first need to understand them … discussion made clear, expectations are very high. In order to meet these expectations, the quality of the … we have given to our strategic plan: "Impact 2027”. In order to meet the objectives set 20 years ago, the AMF must … |
18 December 2023 | AMF news release | AMF proposes enhanced investor information when evaluating boards of listed companies In the 2023 edition of its report on corporate governance and executive compensation in listed companies, the AMF reviews the regulatory developments of recent months and assesses the quality of the information published. In a section dedicated to the assessment of boards of directors, the AMF makes recommendations to improve the information…… questions they consider relevant to evaluate the board. In order to provide investors with quality information, the AMF … |
14 December 2023 | Policy | Recommendation DOC-2012-02 … the “comply or explain” principle presented below. In order to make it easier for issuers to apply the se … 2. Implementing the “comply or explain" principle In order for companies to be able to implement the “comply or … basis and, as appropriate, be completed or amended in order to comply with the applicable regulations. 1.4 The … |
14 December 2023 | Policy | Position - Recommendation DOC-2012-19 … 26 3.2.4. Order execution and transmission … (to be specified): D - Other activities or services 1 - Order reception/transmission (offering this service is … of the AIFM directive for the management of AIFs in order to enjoy the opportunities it offers (such as the … |
20 November 2023 | AMF news release | The AMF publishes a second educational report on taxonomy reporting by listed companies Following a first analysis of listed companies' reporting on the taxonomy published in November 2022, the AMF is publishing a second report this year analysing the quality of the information provided by 31 non-financial companies on the eligibility and alignment of their activities with the European taxonomy. This study provides an in-depth look…… to the different objectives of the taxonomy in order to fully respect the regulations; Several companies … |
09 November 2023 | AMF news release | An OECD study for the AMF profiles new French retail investors In order to gain a better understanding of retail investors who have started to invest in the markets since 2020, the Autorité des Marchés Financiers (AMF) has requested the support of the European Commission, which has designated the Organisation for Economic Co-operation and Development (OECD) to assist it in its efforts to target this audience…… Household Savings Newsletter - No. 54 - November 2023 In order to gain a better understanding of retail investors who … … In order to gain a better understanding of retail investors who … |
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