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Titre clair et concis du tableau26 May 2023 | Public statements | Speech by Marie-Anne Barbat-Layani, AMF Chair, The AMF: "a pivotal position at the heart of financial regulation" - General Assembly of the French Association of Corporate Treasurers - 20 April 2023 … objectives in the interests of good regulation and quality supervision. We have done so in the past, during the … |
22 May 2023 | News | MiFID II remuneration requirements: the AMF applies the ESMA Guidelines The Autorité des Marchés Financiers (AMF) has published a Position DOC-2023-03 to incorporate the guidelines of the European Securities and Markets Authority (ESMA) on certain aspects of the MiFID II remuneration requirements. This position will come into force on October 3rd, 2023. … to promote greater convergence in their interpretation and supervision, emphasising a number of important issues. They … |
16 May 2023 | Policy | Instruction DOC-2014-01 … 1° Compliance and risk monitoring (in particular, supervision of compliance with laws and regulations, supervision of compliance with the investment management … The provider may elect to outsource some compliance supervision functions to an outside firm, but it remains … |
27 April 2023 | AMF news release | Provision of market data: the AMF conducts a series of SPOT inspections and identifies shortcomings in compliance with requirements The AMF has published a summary of the findings of a series of short, thematic inspections of four firms providing market data. Four years after the entry into force of the obligations imposed by the Markets in Financial Instruments Regulation (MiFIR), the AMF has identified shortcomings in their compliance with the requirements of the European… … identifies shortcomings in compliance with requirements … Supervision … MIFID … Financial services providers … |
08 March 2023 | AMF news release | Shareholder dialogue on environmental and climate issues Questions regarding environmental and climate issues are becoming a major challenge for companies especially listed companies. All stakeholders, including investors, have increased their expectations, notably on the occasion of listed companies’ annual general meetings. … is to help the AMF carry out its tasks of regulation and supervision on issues related to sustainable finance. The … |
07 March 2023 | AMF news release | Mystery shopping campaign to bank branches: progress made in the questioning to client, improvements needed in the information provided The new AMF mystery shopping campaign, carried out for the first time as part of a European exercise coordinated by ESMA, shows that institutions are conducting a more in-depth analysis of the situation of future clients than in the previous wave. However, there is still significant work to be done on how fees are presented and on providing… … improvements needed in the information provided … MIFID … Supervision … |
07 March 2023 | Report / study | Results of the 2022 “risk-averse” and “risk-loving” mystery shopping campaigns In 2022, with the help of the IPSOS research institute, the Autorité des Marchés Financiers (AMF) conducted two in-branch mystery shopping campaigns, one risk-averse and one risk-loving. For the first time since the AMF began conducting mystery shopping in 2010, the operation was part of a European study, coordinated by the European Securities and… … and “risk-loving” mystery shopping campaigns … MIFID … Supervision … Disclosure Obligations … Marketing … |
22 February 2023 | News | Anti-money laundering and combating the financing of terrorism: the AMF applies the guidelines of the European Banking Authority The Autorité des Marchés Financiers (AMF) publishes a policy document to incorporate the guidelines of the European Banking Authority (EBA) on policies and procedures in relation to compliance management and the role and responsibilities of the AML/CFT compliance officer. … the European Banking Authority … Harmonisation of European supervision … On 14 June 2022 the EBA published guidelines on … |
21 February 2023 | News | Money Laundering and Terrorist Financing: update of the COLB’s National Risk Assessment The AMF calls upon all regulated professionals to use an updated version of the national risk assessment when drafting or updating their own risk classification. … analysis, the AMF urges the professionals placed under its supervision to familiarise themselves with the NRA update and … |
13 February 2023 | AMF news release | The Sustainable Finance Disclosure Regulation: the AMF proposes a targeted review to include minimum environmental criteria The AMF is proposing the introduction of minimum environmental requirements in European law that must be met by financial products in order to be classified as Article 8 or Article 9 under the Sustainable Finance Disclosure Regulation (SFDR). … with these criteria would be subject to national supervision. The criteria for Article 9 should continue to be … |
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