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Risk management organisation for collective investment undertaking management activities and discretionary portfolio management investment services
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Summary
Collective investment undertaking management activities and discretionary portfolio management investment services are subject to specific risk management organisation rules (counterparty, liquidity and market risks and operational risk). The instruction DOC-2012-01 defines the permanent risk management function, the procedures for delegation to third parties and risk management policy and procedures (measurement, supervision, documentation and filing).This document has not been updated for the laws and regulations that transpose MiFID II and legally separate investment firms from asset management companies. The update will take place in the near future.
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Archives
From 24 January 2019 to 20 March 2022 | Instruction DOC-2012-01
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From 31 January 2018 to 23 January 2019 | Instruction DOC-2012-01
Reference texts
From 20 June 2017 to 30 January 2018 | Instruction DOC-2012-01
Collective investment undertaking management activities and discretionary portfolio management investment services are subject to specific risk management organisation rules (counterparty, liquidity and market risks and operational risk). The instruction DOC-2012-01 defines the permanent risk management function, the procedures for delegation to third parties and risk management policy and procedures (measurement, supervision, documentation and filing).
Reference texts
From 23 July 2015 to 19 June 2017 | Instruction DOC-2012-01
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From 21 February 2014 to 22 July 2015 | Instruction DOC-2012-01
Reference texts
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