22 November 2023 | Enforcement Committee news releases | The AMF Enforcement Committee fines two individuals for insider dealing breaches Please note that the French version of this press release was published on 13 November 2023.
In its decision of 10 November 2023, the Enforcement Committee imposed a fine of €80,000 on Mr Yohann Catherine, the chief operations officer of a listed company at the time of the events, for disclosing two items of inside information concerning the… … has total freedom to make decisions. It can impose sanctions on any person or company whose practices contravene … fines two individuals for insider dealing breaches … Sanctions & settlements … |
25 October 2023 | Public statements | Closing speech by Marie-Anne Barbat Layani, AMF Chair - 16th Seminar of the Enforcement Committee, Thursday 12 October 2023 … who have agreed to discuss the AMF's power to impose sanctions and the influence of European case law on sanction … has strongly pursued a policy of demanding high financial sanctions when faced with unusual cases. The Board also … regulator, and is therefore highly complementary. These settlements are of course subject to approval by the … |
15 September 2023 | Enforcement Committee news releases | The AMF Enforcement Committee fines Rallye and its chief executive officer, Franck Hattab, for market manipulation In its decision of 7 September 2023, the Committee fined Rallye €25 million and Franck Hattab €1 million for disseminating false or misleading information that is likely to secure the price of one or several financial instruments at an abnormal or artificial level. … has total freedom to make decisions. It can impose sanctions on any person or company whose practices contravene … … Read more … SAN-2023-13 - Décision de la Commission des sanctions du 7 septembre 2023 à l'égard de la société Rallye … Franck Hattab, for market manipulation … Sanctions & settlements … |
15 September 2023 | Enforcement Committee news releases | The AMF Enforcement Committee fines an asset management company and its directors for breaches of their professional obligations In its decision of 5 September 2023, the Enforcement Committee imposed a fine of €90,000 and a warning on Horizon Asset Management. It also imposed financial penalties of €30,000 and €15,000 respectively on its Chairman and its Managing Director, who was responsible for compliance and internal control at the time of the events. … has total freedom to make decisions. It can impose sanctions on any person or company whose practices contravene … directors for breaches of their professional obligations … Sanctions & settlements … |
08 September 2023 | Enforcement Committee news releases | The AMF Enforcement Committee fines the Association Nationale des Conseillers Financiers-CIF for breaches of its professional obligations In its decision of 5 September 2023, the Enforcement Committee imposed a fine of €250,000 and a warning on the Association Nationale des Conseillers Financiers-CIF (ANACOFI-CIF), an approved professional association of financial investment advisers. It also imposed a fine of €20,000 and a warning on Patrick Galtier, its manager at the time. … has total freedom to make decisions. It can impose sanctions on any person or company whose practices contravene … for breaches of its professional obligations … Sanctions & settlements … Obligations professionnelles … |
31 July 2023 | Enforcement Committee news releases | The AMF Enforcement Committee fines an asset management company for breaches of its professional obligations In its decision of 26 July 2023, the Enforcement Committee imposed a fine of €200,000 on the asset management company Eres Gestion. Eres Gestion is an asset management company specialising in employee savings, retirement savings and employee shareholding schemes. … has total freedom to make decisions. It can impose sanctions on any person or company whose practices contravene … company for breaches of its professional obligations … Sanctions & settlements … Obligations professionnelles … |
22 June 2023 | Enforcement Committee news releases | By two decisions, the AMF Enforcement Committee fines two investment services providers for breaches of their professional obligations By two decisions of 19 June 2023, the Committee handed down a warning and a fine of one million euros against Crédit Industriel et Commercial, and a fine of two hundred and fifty thousand euros against Banque CIC Sud-Ouest. … has total freedom to make decisions. It can impose sanctions on any person or company whose practices contravene … providers for breaches of their professional obligations … Sanctions & settlements … |
24 May 2023 | Enforcement Committee news releases | The AMF Enforcement Committee sanctions an asset management company and two of its managers for breaches of their professional obligations In its decision of 16 May 2023, the Enforcement Committee handed down a fine of €400,000 and a warning to the asset management company Apicap. It also handed down a fine of €50,000 and a warning to its current chairman, Alain Esnault, and imposed a fine of €25,000 on his predecessor, Jérôme Lescure. … The AMF Enforcement Committee sanctions an asset management company and two of its managers … has total freedom to make decisions. It can impose sanctions on any person or company whose practices contravene … breaches of their professional obligations … Sanctions & settlements … Asset management … |
16 May 2023 | 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 10 May 2023.In its decision of 4 May 2023, the Enforcement Committee imposed a fine of €300,000 on the portfolio asset management company Foncière Magellan. … has total freedom to make decisions. It can impose sanctions on any person or company whose practices contravene … company for breaches of its professional obligations … Sanctions & settlements … |
03 May 2023 | Enforcement Committee news releases | The AMF Enforcement Committee fines a portfolio asset management company and its manager for breaches of their professional obligations In its decision of 24 April 2023, the Enforcement Committee handed down a warning and a fine of €200,000 to the portfolio asset management company Melanion Capital, and a warning and a fine of €150,000 to its manager, Mr Jad Comair. … has total freedom to make decisions. It can impose sanctions on any person or company whose practices contravene … manager for breaches of their professional obligations … Sanctions & settlements … Asset management … Compliance … Anti-money … |