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III - Providers
III. 1 - Investment services providers
III. 1.2. Organisational rules
Guide to the organisation of the risk management system within asset management companies
  • Applicable from 21 March 2022
  • Position - Recommendation DOC-2014-06

Guide to the organisation of risk management, compliance and control systems within portfolio asset management companies



The AMF recommendation DOC-2014-06 details the expectations of the AMF for the operation and organisation of compliance, risk management, internal monitoring and periodic control functions within asset management companies (AMCs). This guide specifies, notably, how different control functions should be structured and is aimed at AMCs that manage UCITS or AIFs and/or that provide a discretionary portfolio management service.

Reference texts