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Titre clair et concis du tableau14 December 2023 | Policy | Position - Recommendation DOC-2012-19 … collective investments … Investment management companies Organisational rules Policy The position-recommandation DOC-2012-19 outlines … decision-making procedures and a well-documented organisational structure that clearly defines lines of … |
02 November 2023 | Policy | Instruction DOC-2016-02 Instruction DOC-2016-02 describes the organisational conditions that must be fulfilled by a portfolio asset management company managing AIFs wishing to grant loans. It defines the requirements for obtaining authorisation or an extension of authorisation. It also specifies the conditions for reporting to the AMF and the Banque de France for the… … AIFMD Policy Instruction DOC-2016-02 describes the organisational conditions to be fulfilled by asset management … loan-granting AIFs Instruction DOC-2016-02 describes the organisational conditions that must be fulfilled by a … activities. The prospectus, articles of incorporation or rules of the AIF must specify which functions are outsourced … |
03 October 2023 | Ombudsman’s Blog | Account keepers informed of a clearing of the central order book by Euronext must inform affected clients Investment service providers must transmit or execute client orders in the order in which they are received, and promptly - unless the nature of the order or prevailing market conditions make this impossible, or the interests of the client require otherwise. They must also inform retail clients of any serious difficulty that is likely to affect… … cancellation of orders in the order book. These specific rules are set out in Euronext Instruction N4-01, more … that Article 67(1)(c) of the EU Delegated Regulation on organisational requirements and operating conditions for … |
05 July 2023 | News | Pump-and-dump practice: market manipulation sanctioned by the Paris Tribunal Correctionnel The Paris Tribunal Correctionnel (Criminal Court) has sanctioned a pump-and-dump type market manipulation that was reported to it by the AMF. The AMF had joined the proceedings as a civil party. … reminds investors and individuals to follow due diligence rules before making any investment: No advertising materials … (identity, country of establishment, civil liability, organisational rules, etc.); Only invest in products you understand; Ask … |
16 June 2023 | News | European Crowdfunding Services Providers: the AMF publishes a position on marketing communications The Autorité des marchés financiers (AMF) has published a Position 2023-05 setting out the requirements applicable to marketing communications of European Crowdfunding Services Providers (ECSPs) providing services in France. This position supplements the requirements applicable to ECSPs’ marketing communications arising from Regulation (EU)… … marketing communications … Context … ECSPs are subject to organisational and investor protection rules, including certain general requirements on marketing … |
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. … submit reports … Asset management … Sustainable Finance … Organisational rules … |
16 May 2023 | Policy | Instruction DOC-2014-01 … provided to the AMF … Investment services providers Organisational rules Policy For investment services providers other than … The authorisation application shall describe the organisational arrangements put in place by the provider for … |
01 January 2023 | Policy | Position - Recommendation DOC-2007-25 The purpose of this Position-Recommendation is to answer questions that market professionals may have about the rules of conduct applicable to ISPs. It provides clarification on four topics: client categorisation, information provided to clients, agreements to be entered into, and suitability assessment. … Q&A on the rules of conduct applicable to investment services providers … Investment services providers Organisational rules Investment services Policy This page is … of the European Parliament and of the Council as regards organisational requirements and operating conditions for … |
12 August 2022 | News | Sustainability requirements in the distribution of financial instruments: update on upcoming legislation and its implementation dates On 2 August 2022, Delegated Regulation (EU) 2021/1253 comes into force, amending the MiFID II framework by introducing sustainability preferences. Further legislation will subsequently come into force, affecting not only investment services providers (ISPs) from 22 November 2022, but also financial investment advisers (FIAs) from 1 January 2023. … sustainability factors, risks and preferences into certain organisational requirements and operating conditions for … that derogates from MiFID II, but they apply certain rules analogous to those applicable to ISPs. During the … sustainability factors, risks and preferences into certain organisational requirements and operating conditions for … |
26 July 2022 | Policy | Instruction DOC-2010-09 … 5 2. Operating rules of the AMF common examination base … a detailed written description of the technical and organisational measures that it has taken to ensure the … 4 2 A "Market abuse" regulation, main applications and organisational implications for firms; Inside information and … |
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