Print from the website of the AMF
Merci de désactiver le bloqueurs de pub pour visualiser cette vidéo.
- Home
- Regulation
- Policy
- DOC-2014-06
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
Guide to the organisation of risk management, compliance and control systems within portfolio asset management companies
Document
Summary
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
- Articles 312-43 to 312-48, 318-4, 318-5, 318-38 to 318-56, 321-23 to 321-27, 321-30 to 321-36, 321-62 to 321-65, 318-29 to 32, 321-76 to 321-81, 321-79 and 321-83 to 321-92 of the General Regulation
- Articles 38 to 49 and 60 to 62 of Commission Delegated Regulation (EU) 231/2013 of 19 December 2012
- Articles 22 and 25 of Commission Delegated Regulation (EU) 2017/565 of 25 April 2016
Archives
From 24 January 2019 to 20 March 2022 | Position - Recommendation DOC-2014-06
Guide to the organisation of the risk management system within asset management companies
This page is not available in English at the moment.
From 31 January 2018 to 23 January 2019 | Position - Recommendation DOC-2014-06
Guide to the organisation of the risk management system within 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.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.
Reference texts
From 20 June 2017 to 30 January 2018 | Position - Recommendation DOC-2014-06
Guide to the organisation of the risk management system within asset management companies
The DOC-2014-06 recommendation 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 (AMC). 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
From 23 July 2015 to 19 June 2017 | Position - Recommendation DOC-2014-06
Guide to the organisation of the risk management system within asset management companies
The DOC-2014-06 recommendation 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 (AMC). 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
From 01 August 2014 to 22 July 2015 | Position - Recommendation DOC-2014-06
Guide to the organisation of the risk management system within asset management companies
This page is not available in English.
Legal information:
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
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