06 November 2014 | Policy | Position DOC-2013-02 This page is not available in English at the moment… … Investment services providers Marketing Policy In order to give suitable advice when marketing financial … with the Commission Nationale Informatique et Libertés in order to guarantee compliance with the principles of the … these clients’ knowledge and experience of investment6 in order to ensure that the clients possess a sufficient level … End of applicability on 11 October 2022 |
06 November 2014 | Policy | Position - Recommendation DOC-2010-22 This page is not available in English… Directive1. The new regulations, which stem from Order 2009-104 of 30 January 2009 and its implementing … basis. 2 The regulations currently in force stem from: - Order 2009-104 of 30 January 2009 on the prevention of the … and Suspicious Transaction Reporting” Decree). - Order of 2 September 2009 issued for the purposes of Article … End of applicability on 28 November 2019 |
06 November 2014 | Policy | Position - Recommendation DOC-2013-05 … associations concerned and are intended to be updated in order to take into account the experience of the AMF and that … corporations can be stacked on top of each other in order to conceal the beneficial owner(s) behind a “chain of … beneficial owner(s) and verify its (their) identity. In order to allow professionals to identify the beneficial … End of applicability on 28 November 2019 |
04 November 2014 | Enforcement Committee news releases | Price manipulation and online trading: AMF Enforcement Committee sanctions one person and Bourse Direct In a decision handed down on 1 October 2014, the AMF Enforcement Committee imposed financial penalties of €75,000 on Mr A and €250,000 on the company Bourse Direct.… the company would have been able to detect, for example, order cancellations followed by position reversals. The … |
28 October 2014 | Policy | Recommendation DOC-2014-13 … which seem the most important in the given situation, in order to draw the attention of listed companies and their … according to the relative importance of the topic in order to highlight the most relevant information. AMF … give more w eight to the most significant information in order to provide information that is relevant and a dapted to … |
20 October 2014 | Event document | AMF Annual Conference 2014 - "Making finance meaningful again: how to finance economic growth?" Each year, the Autorité des marchés financiers brings together financial professionals and journalists in order to share thoughts and inputs. This year, the central theme will be working on the following question "Making finance meaningful again: how to finance economic growth?".… brings together financial professionals and journalists in order to share thoughts and inputs. This year, the central … brings together financial professionals and journalists in order to share thoughts and inputs. This year, the central … |
10 September 2014 | Policy | Position DOC-2013-06 This page is not available in English at the moment… including information on their underlying components. In order to avoid the need to update the document frequently, … when developing their liquidity risk management process in order to ensure they are able to comply at any time with … multilateral trading facility with transparent pricing in order that it can be sold quickly at a price that is close to … |
01 August 2014 | Policy | Position DOC-2012-17 … the compliance function takes a risk-based approach in order to allocate the function’s resources efficiently. A … shall provide access to all relevant databases. In order to have a permanent overview of the areas of the … corporate culture and decision-making processes in order to be able to identify which meetings are important to … End of applicability on 05 June 2021 |
16 June 2014 |
| Article 541-33 Book V - Market infrastructures > Title IV - Clearing houses > Chapter I - Common provisions > Section 7 - Collateral requirements… members must call from clients whose accounts they keep in order to cover or guarantee those clients' commitments or … members must call from clients whose accounts they keep in order to cover or guarantee those clients' commitments or … |
16 June 2014 |
| Article 541-36 Book V - Market infrastructures > Title IV - Clearing houses > Chapter I - Common provisions > Section 8 - Default procedures… of the default of one or several clearing members: The order of use of the financial resources at their disposal to … of the default of one or several clearing members: The order of use of the financial resources at their disposal to … |
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