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Policy III - Providers Risk management organisation for collective investment undertaking management activities and discretionary portfolio management investment services

Segment information

Instruction DOC-2012-01

Relevant on January 31, 2018

Reference texts

Abstract

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.

Risk management organisation for collective investment undertaking management activities and discretionary portfolio management investment services

Instruction DOC-2012-01 Applicable from February 21, 2014 to July 22, 2015

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).

Link to the document

Risk management organisation for collective investment undertaking management activities and discretionary portfolio management investment services

Instruction DOC-2012-01 Applicable from July 23, 2015 to June 19, 2017

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).

Link to the document

Risk management organisation for collective investment undertaking management activities and discretionary portfolio management investment services

Instruction DOC-2012-01 Applicable from June 20, 2017 to January 30, 2018

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).

Link to the document

Table des matières de la doctrine

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