21 March 2022 | Policy | Position - Recommendation DOC-2014-06 The AMF recommendation DOC-2014-06 details the expectations of the AMF for the operation and organisation of compliance, risk management, internal monitoring and periodic control functions within asset management companies (AMCs). This guide specifies, notably, how different control functions should be structured and is aimed at AMCs that manage… … management companies … Investment management companies Organisational rules Policy This page is not available in English. Position … and advisory obligations of the compliance function; - the organisational requirements of the compliance function … |
21 March 2022 | Policy | Instruction DOC-2012-01 Collective investment undertaking management activities and discretionary portfolio management investment services are subject to specific risk management organisation rules (counterparty, liquidity and market risks and operational risk). The instruction DOC-2012-01 defines the permanent risk management function, the procedures for delegation to… … investment services … Investment management companies Organisational rules Policy Collective investment undertaking management … securities involving a derivative' or particular human and organisational resources. For example, single-name CDSs or … |
22 November 2021 | Warning | The AMF warns the public against the offerings of UGE Group After several reports from French retail investors, the AMF is warning the public about the offerings made by UGE Group on its website, www.ugegroupbv.be. It proposes an opportunity to build up savings and generate additional income by buying physical gold. … (identity, country of establishment, civil liability, organisational rules, etc.); Check that the company approaching you is not … |
16 July 2021 | Article | Authorise The AMF approves the rules applicable to financial markets and market infrastructures, approves the corporate finance transactions of listed companies and authorises financial services professionals and the collective investment products under its supervision. … operation of markets in several ways: It approves the rules for regulated markets (equity markets, bond markets, … but organised, in the sense that they are subject to rules laid down by the market operator, It approves the … their ability to comply with the rules of conduct and organisational rules that apply to them. bourse … … … |
24 June 2021 | Warning | The AMF warns the public against Sinclair Upton Capital Management After receiving several complaints from investors, the Autorité des Marchés Financiers (AMF) is warning the public about the activities of Sinclair Upton Capital Management, a company that is offering unauthorised discretionary portfolio management services and financial investment advice in France on its website https://www.sucm.com. … (identity, country of establishment, civil liability, organisational rules, etc.); Check that the company approaching you is not … |
04 May 2021 | Policy | Instruction DOC-2016-01 … and resources devoted in France to complying with the rules for organisation and good conduct cited notably in … specifications / programme of activity must include an organisational chart showing the individual in charge of the … specifications / programme of activity must include an organisational chart showing the individual in charge of the … |
08 February 2021 | Public statements | Speech by Robert Ophèle, AMF Chairman - Afore Consulting – 5th Annual Fintech and Regulation - "Regulatory considerations in an era of digital acceleration", 2-4 February 2021 … last few months. The MiCA regulation establishes uniform rules as well as passport mechanisms for Initial Coin … of competence allocated to ESMA, MiCA establishes specific rules for ‘stablecoins’ distinguishing between … means that business models capable of complying with the organisational rules, conduct rules and AML-CFT rules should … |
07 January 2021 | Bilateral MoU | FCA – 2020 - Multilateral Memorandum of Understanding concerning consultation, cooperation and the exchange of information between each of the EEA competent authorities and the UK Financial Conduct Authority FCA - 2020 - Multilateral Memorandum of Understanding concerning consultation, cooperation and the exchange of information between each of the EEA competent authorities and the UK Financial Conduct Authority. … of trading rights; f) Application of conduct of business rules and marketing provisions, or behaviours that could … c) Information relevant to the governance, the financial, organisational and operational conditions of the Entity with … c) Information relevant to the governance, the financial, organisational and operational conditions of the Entity with … |
17 December 2020 | Warning | Miscellaneous assets: the AMF adds to its black list and, for the first time, has access blocked to unauthorised websites To ensure greater protection for retail investors, the AMF conducts due diligence on offers of investments in miscellaneous assets and warns the public against unauthorised sites and service providers. It can also take legal action to block access to illegal websites. … (identity, country of establishment, civil liability, organisational rules, etc.); Only invest in a product you understand; Ask … |
17 December 2020 | Policy | Position - Recommendation DOC-2007-24 … Q&A on the organisational rules of investment services providers … Investment services providers Organisational rules Policy This version is currently being … |