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… … knowledge of professionals, including sales personnel. … Settlements and sanctions in 2021 … 9 settlements approved. The total amount due under these … |
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. … has total freedom to make decisions. It can impose sanctions on any person or company whose practices contravene … … Read more … SAN-2022-06 - Décision de la Commission des sanctions du 6 mai 2022 à l'égard des sociétés Nyenburgh … three Dutch traders for price manipulation … Sanctions & settlements … |
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. … 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 … Investment advice … |
30 March 2022 | Enforcement Committee news releases | The AMF Enforcement Committee fines a biotech company for failing to disclose inside information as soon as possible, and one of its co-founders and one of its shareholders for unlawful disclosure or use of inside information In its decision of 24 March 2022, the Enforcement Committee imposed a fine of €1 million on AB Science for failing to disclose inside information as soon as possible, relating to the strong likelihood of receiving an unfavourable opinion for a marketing authorisation application for a medicinal product. It also imposed fines of €50,000 and €500… … has total freedom to make decisions. It can impose sanctions on any person or company whose practices contravene … savoir plus … SAN-2022-03 - Décision de la Commission des sanctions du 24 mars 2022 à l'égard de la société AB Science … disclosure or use of inside information … Sanctions & settlements … |
11 March 2022 | Enforcement Committee news releases | The AMF Enforcement Committee sanctions a media company and its director for making investment recommendations without mentioning conflicts of interest and for price manipulation In its decision of 4 March 2022, the Enforcement Committee fined Le Quotidien de Paris Editions and its director and editor, Nicolas Miguet, €600,000 and €200,000 respectively. However, the Committee exonerated Nicolas Miguet & Associés, which had been accused of price manipulation. … The AMF Enforcement Committee sanctions a media company and its director for making … of interest to the public in a proper and effective way. … Sanctions … In assessing the sanctions imposed on Le … of interest and for price manipulation … Sanctions & settlements … |
18 February 2022 | AMF news release | The AMF to call for an amendment of the law on obstructing investigations and inspections Taking into account the decision of the French Conseil Constitutionnel of 28 January 2022, the Autorité des Marchés Financiers (AMF) will propose modifications to the French Monetary and Financial Code in order to end the possibility of dual prosecution for obstructing investigations and inspections. … of the law on obstructing investigations and inspections … Sanctions & settlements … |
06 January 2022 | Enforcement Committee news releases | The AMF Enforcement Committee fines an issuer's Chief Financial Officer for insider dealing In its decision of 29 December 2021, the Enforcement Committee imposed a fine of €60,000 on Jean-Louis Roy, the former CFO of a listed company, for breach of his obligation to refrain from using inside information relating to a significant deterioration in the issuer's annual results. … has total freedom to make decisions. It can impose sanctions on any person or company whose practices contravene … an issuer's Chief Financial Officer for insider dealing … Sanctions & settlements … |
29 December 2021 | Enforcement Committee news releases | The AMF Enforcement Committee fines an asset management company for several breaches of its professional obligations In its decision of 20 December 2021, the Enforcement Committee handed down a warning to management company Twenty First Capital, along with a fine of €100,000. … has total freedom to make decisions. It can impose sanctions on any person or company whose practices contravene … for several breaches of its professional obligations … Sanctions & settlements … |
06 December 2021 | 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 30 November 2021, the Enforcement Committee imposed a fine of €25,000 as well as a permanent ban on practising as a financial investment advisor on each of the respondents, Acadian Advisors & Associates and its manager at the time of the events, Didier Hoffelt. … 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 … |
10 November 2021 | Enforcement Committee news releases | The AMF Enforcement Committee fines a Polish investment service provider for breaches of its professional obligations In its decision of 8 November 2021, the Enforcement Committee handed down a warning to the Polish company X-Trade Brokers Dom Maklerski and fined it €300,000 for breaches of its professional obligations in connection with the activities of its French branch. … has total freedom to make decisions. It can impose sanctions on any person or company whose practices contravene … provider for breaches of its professional obligations … Sanctions & settlements … CFD … |