03 January 2023 | Enforcement Committee news releases | The AMF Enforcement Committee fines the British company H2O AM LLP and two of its executives at the time of the facts for several breaches of their professional obligations In its decision of 30 December 2022, the Committee imposed fines on H2O AM LLP, Mr. Bruno Crastes and Mr. Vincent Chailley of respectively €75 million, €15 million and €3 million, each with a disciplinary sanction, for several breaches committed in the management of French funds relating to investments in financial instruments. decisions. It can impose sanctions on any person or company whose practices contravene laws and regulations |
23 December 2022 | Enforcement Committee news releases | The AMF Enforcement Committee fines a portfolio asset management company for breaches of its professional obligations In its decision of 21 December 2022, the Enforcement Committee imposed a fine of €150,000 on Inocap Gestion, a portfolio asset management company. decisions. It can impose sanctions on any person or company whose practices contravene laws and regulations |
28 October 2022 | Enforcement Committee news releases | The AMF Enforcement Committee fines a financial investment advisor and its manager for breaches of their professional obligations In its decision of 24 October 2022, the Enforcement Committee imposed fines of €20,000 on the company Salzillo Finance and €80,000 on its manager Jean Salzillo, and also banned both of them from operating as financial investment advisors for three years. decisions. It can impose sanctions on any person or company whose practices contravene laws and regulations |
25 July 2022 | Enforcement Committee news releases | The AMF Enforcement Committee fines a depositary for breaches of its professional obligations In its decision of 20 July 2022, the Enforcement Committee imposed a fine of €500,000 and a warning to RBC Investor Services Bank France SA (“RBC ISBF”) for failing to exercise proper depositary control and for irregular and deficient monitoring of certain cash flows. decisions. It can impose sanctions on any person or company whose practices contravene laws and regulations |
19 July 2022 | Enforcement Committee news releases | The AMF Enforcement Committee fines one natural person and five legal entities, including an investment management company, for failing to comply with several reporting obligations in relation to a concerted action carried out in the context of a part... Please note that the French version of this press release was published on 12 July 2022.
In its decision of 11 July 2022, the Committee imposed financial penalties of €600,000 on Mr Christian Burrus, €200,000 on each of the insurance companies AFI ESCA, AFI ESCA Holding, AFI ESCA IARD and AFI ESCA Luxembourg, and €400,000 on management… decisions. It can impose sanctions on any person or company whose practices contravene laws and regulations |
18 July 2022 | Enforcement Committee news releases | The AMF Enforcement Committee fines a portfolio asset management company for breaches of its professional obligations Please note that the French version of this press release was published on 11 July 2022.
In its decision of 6 July 2022, the Enforcement Committee imposed a fine of €200,000 on 123 Investment Managers. In its decision of 6 July 2022, the Enforcement Committee imposed a fine of €200,000 on 123 Investment Managers. decisions. It can impose sanctions on any person or company whose practices contravene laws and regulations |
02 June 2022 | Enforcement Committee news releases | The AMF Enforcement Committee fines a financial investment advisor and its manager for breaches of their professional obligations In its decision of 25 May 2022, the Enforcement Committee banned Audit Patrimoine Conseil and its manager, Serge Monin, from exercising the activity of financial investment advisor for a period of 10 years and also imposed a fine of €150,000 on Mr Monin. decisions. It can impose sanctions on any person or company whose practices contravene laws and regulations |
18 May 2022 | AMF news release | With the publication of its 2021 annual report, the AMF reviews its five-year strategic plan, #Supervision2022 The AMF has reviewed the actions taken in 2021 to ensure investor protection as well as the smooth operation of financial markets, and assessed them in light of the strategic orientations set for 2018-2022. As this strategic cycle draws to a close in an economic context hard hit by the conflict in Ukraine, the AMF Chairman outlines the main… Settlements and sanctions in 2021 |
13 May 2022 | Enforcement Committee news releases | The AMF Enforcement Committee fines a Dutch trading firm and three Dutch traders for price manipulation In its decision of 6 May 2022, the Enforcement Committee imposed fines of between €80,000 and €400,000 on Nyenburgh Holding B.V. and on Rob Kamsteeg, Dionisius Johannes Henricus Van Tilborg and Diede Mink Van Den Ouden. decisions. It can impose sanctions on any person or company whose practices contravene laws and regulations |
04 May 2022 | Enforcement Committee news releases | The AMF Enforcement Committee fines a financial investment advisor and its manager for breaches of their professional obligations In its decision of 26 April 2022, the Enforcement Committee issued a reprimand and imposed a fine of €150,000 on Auvergne Investissement Hôtels. It also banned its chairman, Serge Emery, from exercising the activity of financial investment advisor for a period of five years and fined him €50,000. decisions. It can impose sanctions on any person or company whose practices contravene laws and regulations |
