22 January 2015 | General regulation | General regulation of the AMF into force from 22/01/2015 to 23/01/2015 … the issuer or a seller with a view to: 1° Placing 2° Selling 3° Buying II. - Befor t within the meaning of Article … of the agreement or instrument. ll be no set-off with any short position held by the reporting person as a result of … settlement or delivery of financial instruments under the short-term settlement cycle lasting no more than thre y an … |
06 November 2014 | Policy | Position DOC-2012-13 … multiple and/or long-term, than when the client seeks a short-term secure investment. If an investment services … failures regarding the suitability assessment (such as mis-selling); c) ensure that records kept are accessible for the … ability of management information to identify risks of mis-selling. Therefore, an investment services provider is … End of applicability on 05 March 2019 |
06 November 2014 | Policy | Position DOC-2013-02 This page is not available in English at the moment… with the physical presence of the parties or by distance selling. 4. Positions Providers shall apply these positions … constitution of precautionary savings, long-, medium- or short-term investment), explaining them and offering the … constitution of precautionary savings, long-, medium- or short-term investment), explaining them and offering the … End of applicability on 11 October 2022 |
10 September 2014 | Policy | Position DOC-2013-06 This page is not available in English at the moment… a description of the impact of any reverse leverage (i.e. short exposure); c) a description of how the performance of … and may receive less than the current net asset value when selling them.’ 15. If the stock exchange value of the units … the full amount of cash on accrued basis; - invested in short-term money market funds as defined in the Guidelines on … |
10 October 2013 | General regulation | General regulation of the AMF into force from 10/10/2013 to 20/12/2013 … . . . . . . . . . . . . . . . . . . . . . . 46 Section 9 - Short positions reporting . . . . . . . . . . . . . . . . . . … the financial securities on the primary market, or 2° Selling the financial securities on the secondary market in a … or instrument. There shall be no set-off with any short position held by the reporting person as a result of … |
22 September 2013 | General regulation | General regulation of the AMF into force from 22/09/2013 to 09/10/2013 … . . . . . . . . . . . . . . . . . . . . . . 46 Section 9 - Short positions reporting . . . . . . . . . . . . . . . . . . … the financial securities on the primary market, or 2° Selling the financial securities on the secondary market in a … or instrument. There shall be no set-off with any short position held by the reporting person as a result of … |
14 August 2013 | General regulation | General regulation of the AMF into force from 14/08/2013 to 21/09/2013 … . . . . . . . . . . . . . . . . . . . . . . 46 Section 9 - Short positions reporting . . . . . . . . . . . . . . . . . . … the financial securities on the primary market, or 2° Selling the financial securities on the secondary market in a … or instrument. There shall be no set-off with any short position held by the reporting person as a result of … |
14 July 2013 | General regulation | General regulation of the AMF into force from 14/07/2013 to 13/08/2013 … . . . . . . . . . . . . . . . . . . . . . . 45 Section 9 - Short positions reporting . . . . . . . . . . . . . . . . . . … the financial securities on the primary market, or 2° Selling the financial securities on the secondary market in a … or instrument. There shall be no set-off with any short position held by the reporting person as a result of … |
08 July 2013 | Policy | Recommendation DOC-2010-07 … managers may have a legitimate interest in buying or selling their company stock. However, to ensure that their … to be speculative21. This includes margin buying and short selling, rolling over deferred settlement orders, round trip trading over short periods, trading in the securities of listed … End of applicability on 03 July 2016 |
18 June 2013 | General regulation | General regulation of the AMF into force from 18/06/2013 to 13/07/2013 … . . . . . . . . . . . . . . . . . . . . . . 45 Section 9 - Short positions reporting . . . . . . . . . . . . . . . . . . … the financial securities on the primary market, or 2° Selling the financial securities on the secondary market in a … or instrument. There shall be no set-off with any short position held by the reporting person as a result of … |
Head of publications: The Executive Director of AMF Communication Directorate. Contact: Communication Directorate – Autorité des marches financiers 17 place de la Bourse – 75082 Paris cedex 02