1.1 On March 26, 2024, the AMF declared that it complies with ESMA’s guidelines published on January 5, 2024 on transfer of data between trade repositories under EMIR and SFTR. Tue 26/03/2024 - 12:00 Reference texts Orientations relatives au transfert de données entre référentiels…https://www.amf-france.org/en/regulation/policy/doc-2024-03#xts=607212&xtor=RSS-39&type=RSSTue, 26 Mar 2024 00:00:00 +01003.1 The AMF applies the European Supervisory Authorities' Joint Guidelines, which explain the relevant ML/TF risk factors that financial sector professionals should consider to best adjust the scope of their customer due diligence measures. Chapters 8 and 9 of Title III of the Guidelines include sectoral developments relating to…https://www.amf-france.org/en/regulation/policy/doc-2019-14#xts=607212&xtor=RSS-39&type=RSSTue, 12 Mar 2024 00:00:00 +01001.1 The AMF applies the Guidelines of the European Banking Authority on policies and controls for the effective management of money laundering and terrorist financing (ML/TF) risks when providing access to financial services (EBA/GL/2023/04). In particular, these guidelines aim to limit risk-mitigating practices that exclude…https://www.amf-france.org/en/regulation/policy/doc-2024-02#xts=607212&xtor=RSS-39&type=RSSTue, 12 Mar 2024 00:00:00 +01002.1 Tue 13/02/2024 - 12:00 Reference texts Article L.321-1 of the Monetary and Financial Code (in French only) Article L.321-2 of the Monetary and Financial Code (in French only) Article D.321-1 of the Monetary and Financial Code (in…https://www.amf-france.org/en/regulation/policy/doc-2018-03#xts=607212&xtor=RSS-39&type=RSSTue, 13 Feb 2024 00:00:00 +01004.1 These questions and answers provide clarifications on the criteria for defining an investment service of investment advice, and on the requirements incumbent upon the investment services provider when it provides such a service. Tue 13/02/2024 - 12:00 Reference texts Article…https://www.amf-france.org/en/regulation/policy/doc-2008-23#xts=607212&xtor=RSS-39&type=RSSTue, 13 Feb 2024 00:00:00 +01001.1 On January 26, 2024, the AMF declared that it complies with ESMA's Guidelines published on October 23, 2023 on EMIR reporting. The ESMA guidelines are available at the following links:In French: Orientations ESMA relatives aux déclarations au titre du règlement EMIRIn English:Guidelines ESMA for reporting under EMIR …https://www.amf-france.org/en/regulation/policy/doc-2024-01#xts=607212&xtor=RSS-39&type=RSSFri, 26 Jan 2024 00:00:00 +01003.1 Mon 01/01/2024 - 12:00 Reference texts Article D. 54-10-2 of the French Monetary and Financial Code (in French only) Article D. 54-10-6 of the French Monetary and Financial Code (in French only) Article 721-1-2 to 721-1-3 of the AMF…https://www.amf-france.org/en/regulation/policy/doc-2019-24#xts=607212&xtor=RSS-39&type=RSSMon, 01 Jan 2024 00:00:00 +01004.1 Mon 01/01/2024 - 12:00 Reference texts Articles 721-1 to 721-1-3 of the AMF General Regulation (in French only) Articles 721-3 to 721-4 of the AMF General Regulation (in French only) …https://www.amf-france.org/en/regulation/policy/doc-2019-23#xts=607212&xtor=RSS-39&type=RSSMon, 01 Jan 2024 00:00:00 +01006.1 Position-Recommendation DOC-2020-03 sets out the information on the consideration of non-financial criteria that French collective investment undertakings and foreign UCITS authorised for marketing in France may disclose. These provisions are described for the various regulatory documents (key investor information documents,…https://www.amf-france.org/en/regulation/policy/doc-2020-03#xts=607212&xtor=RSS-39&type=RSSWed, 20 Dec 2023 00:00:00 +01003.1 Instruction DOC-2016-02 describes the organisational conditions that must be fulfilled by a portfolio asset management company managing AIFs wishing to grant loans. It defines the requirements for obtaining authorisation or an extension of authorisation. It also specifies the conditions for reporting to the AMF and the Banque…https://www.amf-france.org/en/regulation/policy/doc-2016-02#xts=607212&xtor=RSS-39&type=RSSThu, 02 Nov 2023 00:00:00 +01001.1 The AMF applies the European Insurance and Occupational Pensions Authority (EIOPA) guidelines on Pan-European Personal Pension Products supervisory reporting on  (EIOPA-21/260 guidelines) referred to in Article 40 of Regulation (EU) 2019/1238. These guidelines specify the conditions under which PEPP providers must…https://www.amf-france.org/en/regulation/policy/doc-2023-08#xts=607212&xtor=RSS-39&type=RSSThu, 26 Oct 2023 00:00:00 +02001.1 Thu 26/10/2023 - 12:00 Book 2 Recommendation Closing of the 2023 accounts and examination of the financial statements Closing of the 2023 accounts and examination of the financial statements 11:17 amhttps://www.amf-france.org/en/regulation/policy/doc-2023-09#xts=607212&xtor=RSS-39&type=RSSThu, 26 Oct 2023 00:00:00 +02002.2 The AMF adopts the ESMA guidelines on MiFID II product governance requirements (ESMA35-43-3448) for investment services providers. These guidelines, incorporated into position DOC-2018-04, aim to detail the obligations of manufacturers and distributors, particularly with regard to the categories to be taken into account in…https://www.amf-france.org/en/regulation/policy/doc-2018-04#xts=607212&xtor=RSS-39&type=RSSTue, 03 Oct 2023 00:00:00 +02001.1 AMF Position DOC-2023-03 incorporates the ESMA guidelines on ‘certain aspects of the MiFID II remuneration requirements’ (ESMA35-43-3565). The purpose of these guidelines is to clarify the obligations relating to remuneration requirements in order to ensure the common, uniform and consistent application of EU law. …https://www.amf-france.org/en/regulation/policy/doc-2023-03#xts=607212&xtor=RSS-39&type=RSSTue, 03 Oct 2023 00:00:00 +02001.0 The AMF applies the guidelines of the European Banking Authority (EBA) on Remote Customer Onboarding Solutions under Article 13(1) of Directive (EU) 2015/849 (EBA/GL/2022/15). These guidelines set out the steps credit and financial institutions should take when adopting or reviewing solutions to comply with customer due…https://www.amf-france.org/en/regulation/policy/doc-2023-07#xts=607212&xtor=RSS-39&type=RSSMon, 02 Oct 2023 00:00:00 +02003.1 DOC-2019-16 sets out the due diligence obligations with regard to clients and their beneficial owners, as provided by Articles L. 561-4-1 and following of the Monetary and Financial Code, taking account of the essential contributions of the 4th directive and 5th directive, and notably the reinforcement of the risk-based…https://www.amf-france.org/en/regulation/policy/doc-2019-16#xts=607212&xtor=RSS-39&type=RSSMon, 02 Oct 2023 00:00:00 +02001.1 AMF Position DOC-2023-05 sets out requirements applicable in relation to ECSPs’ marketing communications. It provides clarifications regarding correctness, clarity and non-misleading nature of the information these marketing communication contain, as well as in terms of visual aspects, comparisons between products,…https://www.amf-france.org/en/regulation/policy/doc-2023-05#xts=607212&xtor=RSS-39&type=RSSFri, 16 Jun 2023 00:00:00 +02002.1 Thu 01/06/2023 - 12:00 Reference texts Articles 57 and 58 of Directive 2014/65/UE of the European Parliament and of the Council of May 15, 2014 Commission Delegated Regulation (UE) 2022/1302 of April 20, 2022 Book 5 …https://www.amf-france.org/en/regulation/policy/doc-2017-12#xts=607212&xtor=RSS-39&type=RSSThu, 01 Jun 2023 00:00:00 +02001.1 On 23 May 2022, the AMF stated that it complies with ESMA guidelines on scenarios for CCP recovery plans under Article 9(12) of the CCPRRR and ESMA  guidelines on indicators for CCP recovery plans under Article 9(5) of the CCPRRR.These guidelines are available on the ESMA website hereafter :- In English : https://www.esma…https://www.amf-france.org/en/regulation/policy/doc-2023-04#xts=607212&xtor=RSS-39&type=RSSTue, 23 May 2023 00:00:00 +02001.1 The AMF complies with the ESMA guidelines on standard forms, formats and templates to apply for permission to operate a DLT market infrastructure.These guidelines apply to competent authorities as defined in Article 2(21) of Regulation (EU) 2022/858 and to applicants for specific permissions to operate DLT market…https://www.amf-france.org/en/regulation/policy/doc-2023-02#xts=607212&xtor=RSS-39&type=RSSThu, 04 May 2023 00:00:00 +02001.1 The AMF applies 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 under Article 8 and Chapter VI of Directive (EU) 2015/849. These guidelines specify the role, tasks and responsibilities…https://www.amf-france.org/en/regulation/policy/doc-2023-01#xts=607212&xtor=RSS-39&type=RSSTue, 21 Feb 2023 00:00:00 +01003.2 The purpose of this Position-Recommendation  is to answer questions that market professionals may have about the rules of conduct applicable to ISPs. It provides clarification on four topics: client categorisation, information provided to clients, agreements to be entered into, and suitability assessment. …https://www.amf-france.org/en/regulation/policy/doc-2007-25#xts=607212&xtor=RSS-39&type=RSSSun, 01 Jan 2023 00:00:00 +01001.1 Fri 28/10/2022 - 12:00 Book 2 Recommendation Closing of the 2022 financial statements and financial statements examination work Closing of the 2022 financial statements and financial statements examination work 01:51 pmhttps://www.amf-france.org/en/regulation/policy/doc-2022-06#xts=607212&xtor=RSS-39&type=RSSFri, 28 Oct 2022 00:00:00 +02001.1 AMF Position DOC-2022-03 incorporates the ESMA guidelines on “certain aspects of the MiFID II appropriateness and execution-only requirements” (ESMA35-43-3006). The purpose of these Guidelines is to clarify the application of these requirements and foster greater European convergence, by focusing on a number of important…https://www.amf-france.org/en/regulation/policy/doc-2022-03#xts=607212&xtor=RSS-39&type=RSSWed, 12 Oct 2022 00:00:00 +02001.1 On July 28, the AMF declared to ESMA that it complies with the ESMA guidelines on common procedures and methodologies on supervisory review and evaluation process of CCPs under Article 21 of EMIR. Fri 29/07/2022 - 12:00 Reference texts Regulation (EU) No 648/2012 of the…https://www.amf-france.org/en/regulation/policy/doc-2022-05#xts=607212&xtor=RSS-39&type=RSSFri, 29 Jul 2022 00:00:00 +02008.1 Tue 26/07/2022 - 12:00 Book 3 Instruction Requirements for certification by the AMF of a training organisation to hold the AMF examination relating to the professional knowledge of market participants Requirements for certification by the AMF of a…https://www.amf-france.org/en/regulation/policy/doc-2010-09#xts=607212&xtor=RSS-39&type=RSSTue, 26 Jul 2022 00:00:00 +02001.0 The AMF complies with the revised guidelines of the European Banking Authority on the characteristics of a risk-based approach to the supervision of anti-money laundering and combating the financing of terrorism, and the steps to be taken when conducting supervision on a risk-sensitive basis in accordance with Article 48,…https://www.amf-france.org/en/regulation/policy/doc-2022-02#xts=607212&xtor=RSS-39&type=RSSThu, 07 Jul 2022 00:00:00 +02007.1 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…https://www.amf-france.org/en/regulation/policy/doc-2012-01#xts=607212&xtor=RSS-39&type=RSSMon, 21 Mar 2022 00:00:00 +01006.1 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…https://www.amf-france.org/en/regulation/policy/doc-2014-06#xts=607212&xtor=RSS-39&type=RSSMon, 21 Mar 2022 00:00:00 +01001.1 Fri 29/10/2021 - 12:00 Reference texts article 223-1 du règlement général de l’AMF Book 1 Recommendation Closing of the 2021 financial statements and financial statements examination work Closing of the 2021…https://www.amf-france.org/en/regulation/policy/doc-2021-06#xts=607212&xtor=RSS-39&type=RSSFri, 29 Oct 2021 00:00:00 +02006.2 Position DOC-2014-04 provides explanations on the definition of marketing in France of units or shares of UCITS and AIFs, and describes the various regimes applicable to marketing of such entities in France. Mon 02/08/2021 - 12:00 Reference texts Article L. 211-41 of the…https://www.amf-france.org/en/regulation/policy/doc-2014-04#xts=607212&xtor=RSS-39&type=RSSMon, 02 Aug 2021 00:00:00 +02001.2 The AMF applies all the guidelines issued by ESMA on "certain aspects of the MiFID II compliance function requirements" (ESMA-35-36-1952). Sun 06/06/2021 - 12:00 Reference texts Article L. 533-10 II 2° of the Monetary and Financial Code …https://www.amf-france.org/en/regulation/policy/doc-2021-04#xts=607212&xtor=RSS-39&type=RSSSun, 06 Jun 2021 00:00:00 +02005.1 Tue 16/03/2021 - 12:00 Reference texts Article 319-13 of the General Regulation Article 321-118 of the General Regulation Article 411-129-1 of the General Regulation Article 411-130 of the General…https://www.amf-france.org/en/regulation/policy/doc-2012-12#xts=607212&xtor=RSS-39&type=RSSTue, 16 Mar 2021 00:00:00 +01004.1 Fri 05/03/2021 - 12:00 Reference texts Articles 422-189 to 422-249-5 of the General Regulation Book 4 Instruction Real estate investment companies, Forestry investment companies and Forestry groups Real…https://www.amf-france.org/en/regulation/policy/doc-2019-04#xts=607212&xtor=RSS-39&type=RSSFri, 05 Mar 2021 00:00:00 +01002.2 DOC-2019-17 presents the particular due diligence measures provided by the regulations for those persons who are exposed to particular risks on account of the political, jurisdictional or administrative functions performed by them or those around them. These guidelines have been updated to take account of the provisions…https://www.amf-france.org/en/regulation/policy/doc-2019-17#xts=607212&xtor=RSS-39&type=RSSMon, 18 Jan 2021 00:00:00 +01002.2 Mon 18/01/2021 - 12:00 Reference texts Article L. 561-4-1of the Monetary and Financial Code (in french only) Article L. 561-32 of the Monetary and Financial Code (in french only) Article L. 561-33 of the Monetary and Financial Code …https://www.amf-france.org/en/regulation/policy/doc-2019-15#xts=607212&xtor=RSS-39&type=RSSMon, 18 Jan 2021 00:00:00 +01002.1 The obligation to report to TRACFIN is a complement to due diligence obligations with respect to clients. DOC-2019-18 specifies the scope of application of this obligation, presents the analysis process that may lead, where applicable, to a  suspicious transaction report, and provides information on these practical…https://www.amf-france.org/en/regulation/policy/doc-2019-18#xts=607212&xtor=RSS-39&type=RSSMon, 18 Jan 2021 00:00:00 +01001.1 Position DOC-2021-01 incorporates the ESMA guidelines “on performance fees in UCITS and certain types of AIFs” (ESMA34-39-992). Tue 05/01/2021 - 12:00 Reference texts Article L. 214-23 of the Monetary and Financial Code (in french only) Article L…https://www.amf-france.org/en/regulation/policy/doc-2021-01#xts=607212&xtor=RSS-39&type=RSSTue, 05 Jan 2021 00:00:00 +01001.2 Wed 28/10/2020 - 12:00 Reference texts article 223-1 of the AMF General Regulation Book 1 Recommendation 2020 Financial statements and review of 2018-2019 financial statements 2020 Financial statements and…https://www.amf-france.org/en/regulation/policy/doc-2020-09#xts=607212&xtor=RSS-39&type=RSSWed, 28 Oct 2020 00:00:00 +01001.3 Wed 30/09/2020 - 12:00 Reference texts Articles 318-44, 321-77, 321-81 and 323-39 of the General Regulation Articles 47, 48 and 92 of Delegated Regulation (EU) 231/2013 of the European Parliament and of the Council of 19 December 2012 …https://www.amf-france.org/en/regulation/policy/doc-2020-08#xts=607212&xtor=RSS-39&type=RSSWed, 30 Sep 2020 00:00:00 +02002.1 Best execution consists of obtaining, when executing orders, the best possible result for clients. The Autorité des marchés financiers (AMF) updates the English version of its position-recommendation DOC-2014-07 on this subject. Mon 27/07/2020 - 12:00 Position Recommendation …https://www.amf-france.org/en/regulation/policy/doc-2014-07#xts=607212&xtor=RSS-39&type=RSSMon, 27 Jul 2020 00:00:00 +02004.1 This page is not available in English. Thu 18/06/2020 - 12:00 Thu 18/06/2020 - 12:00 Position Modification des caractéristiques des bons de souscription d'actions (BSA) Modification des caractéristiques des bons de souscription d&…https://www.amf-france.org/en/regulation/policy/doc-2008-10#xts=607212&xtor=RSS-39&type=RSSThu, 18 Jun 2020 00:00:00 +02002.4 This page is not available in English Wed 17/06/2020 - 12:00 Wed 17/06/2020 - 12:00 Position Recommendation Communication des sociétés cotées lors de l'émission de titres de capital ou donnant accès au capital ne donnant pas lieu à la…https://www.amf-france.org/en/regulation/policy/doc-2019-01#xts=607212&xtor=RSS-39&type=RSSWed, 17 Jun 2020 00:00:00 +02004.3 This page is not available in English at the moment  Tue 05/05/2020 - 12:00 Book 3 Instruction Requirements relating to the professional competence of financial investment advisers, the updating of their knowledge, and reporting to the AMF on…https://www.amf-france.org/en/regulation/policy/doc-2013-07#xts=607212&xtor=RSS-39&type=RSSTue, 05 May 2020 00:00:00 +0200Intervention measure Covid-19 Short selling Decision of 14 April 2020 regarding the renewal of the ban of net short positions Decision of 14 April 2020 regarding the renewal of the ban of net short positionshttps://www.amf-france.org/en/regulation/exceptional-intervention-measures/decision-14-april-2020-regarding-renewal-ban-net-short-positions#xts=607212&xtor=RSS-39&type=RSSWed, 15 Apr 2020 18:42:06 +0200Intervention measure Short selling Markets Decision of 17 March 2020 regarding the extension of the ban of net short positions Decision of 17 March 2020 regarding the extension of the ban of net short positionshttps://www.amf-france.org/en/regulation/exceptional-intervention-measures/decision-17-march-2020-regarding-extension-ban-net-short-positions#xts=607212&xtor=RSS-39&type=RSSTue, 17 Mar 2020 22:18:40 +0100Intervention measure Short selling Markets Decision of 17 March 2020 regarding the ban of net short positions Decision of 17 March 2020 regarding the ban of net short positionshttps://www.amf-france.org/en/regulation/exceptional-intervention-measures/decision-17-march-2020-regarding-ban-net-short-positions#xts=607212&xtor=RSS-39&type=RSSTue, 17 Mar 2020 22:11:30 +0100Intervention measure Short selling Markets Temporary prohibition of short selling in shares admitted to trading on trading venues under the jurisdiction of the AMF Temporary prohibition of short selling in shares admitted to trading on trading venues under the jurisdiction of the AMFhttps://www.amf-france.org/en/regulation/exceptional-intervention-measures/temporary-prohibition-short-selling-shares-admitted-trading-trading-venues-under-jurisdiction-amf#xts=607212&xtor=RSS-39&type=RSSTue, 17 Mar 2020 08:35:59 +01004.6 This page is not available in English at the moment Tue 10/03/2020 - 12:00 Fri 10/11/2023 - 12:00 Book 2 Book 3 Instruction Information to be provided to investors by the issuer and crowdfunding investment adviser or…https://www.amf-france.org/en/regulation/policy/doc-2014-12#xts=607212&xtor=RSS-39&type=RSSTue, 10 Mar 2020 00:00:00 +01001.0 Fri 06/03/2020 - 12:00 Position Clarifications regarding the notion of trading venue, applicable in particular to financial instruments registered in a distributed ledger Clarifications regarding the notion of trading venue, applicable in particular to financial…https://www.amf-france.org/en/regulation/policy/doc-2020-02#xts=607212&xtor=RSS-39&type=RSSFri, 06 Mar 2020 00:00:00 +01004.2 This page is not available in English at the moment Mon 10/02/2020 - 12:00 Recommendation Fairness opinion in the context of corporate finance transactions Fairness opinion in the context of corporate finance transactions 09:20 amhttps://www.amf-france.org/en/regulation/policy/doc-2006-15#xts=607212&xtor=RSS-39&type=RSSMon, 10 Feb 2020 00:00:00 +01002.3 This page is not available in English at the moment Mon 10/02/2020 - 12:00 Book 2 Instruction Fairness opinion Fairness opinion 09:25 amhttps://www.amf-france.org/en/regulation/policy/doc-2006-08#xts=607212&xtor=RSS-39&type=RSSMon, 10 Feb 2020 00:00:00 +01001.1 Wed 23/10/2019 - 12:00 Reference texts Article 223-1 Recommendation 2019 Financial Statements and Review of 2017-2018 Financial Statements 2019 Financial Statements and Review of 2017-2018 Financial Statements 08…https://www.amf-france.org/en/regulation/policy/doc-2019-13#xts=607212&xtor=RSS-39&type=RSSWed, 23 Oct 2019 00:00:00 +02002.0 Position-recommendation DOC-2018-02 aims to clarify the AMF's expectations on the marketing of crowdfunding offers, calculation of default rates and run-off management of platforms. In particular, it specifies the best practice for securities and minibons crowdfunding in relation to providing information that is balanced,…https://www.amf-france.org/en/regulation/policy/doc-2018-02#xts=607212&xtor=RSS-39&type=RSSFri, 06 Sep 2019 00:00:00 +02003.1 Pending AMF authorisation of one or more associations of crowdfunding investment advisers (CIAs), the AMF shall review the professional skills and ability of applicants to comply with the business conduct and organisational rules provided for in the AMF General Regulation. The AMF will conduct its review on the basis of an…https://www.amf-france.org/en/regulation/policy/doc-2014-11#xts=607212&xtor=RSS-39&type=RSSFri, 06 Sep 2019 00:00:00 +02002.1 Fri 06/09/2019 - 12:00 Fri 10/11/2023 - 12:00 Reference texts Article D. 321-1 of the Monetary and Financial Code (in french only) Position Placing without a firm commitment basis and crowdfunding Placing without a…https://www.amf-france.org/en/regulation/policy/doc-2014-10#xts=607212&xtor=RSS-39&type=RSSFri, 06 Sep 2019 00:00:00 +0200Intervention measure CFD MIFID AMF's decision of 1 August 2019 restricting the marketing, distribution or sale, in France or from France, of contracts for differences to retail investors AMF's decision of 1 August 2019 restricting the marketing, distribution or sale, in France or from…https://www.amf-france.org/en/amfs-decision-1-august-2019-restricting-marketing-distribution-or-sale-france-or-france-contracts#xts=607212&xtor=RSS-39&type=RSSMon, 05 Aug 2019 16:24:00 +02003.1 This page is not available in English at the moment Wed 24/07/2019 - 12:00 Position Placement services and marketing of financial instruments Placement services and marketing of financial instruments 08:24 pmhttps://www.amf-france.org/en/regulation/policy/doc-2012-08#xts=607212&xtor=RSS-39&type=RSSWed, 24 Jul 2019 00:00:00 +0200Intervention measure Forex and binary options CFD AMF's decision of 2 July 2019 prohibiting the marketing, distribution or sale, in France or from France, of binary options to retail investors AMF's decision of 2 July 2019 prohibiting the marketing, distribution or sale, in France or from…https://www.amf-france.org/en/amfs-decision-2-july-2019-prohibiting-marketing-distribution-or-sale-france-or-france-binary-options#xts=607212&xtor=RSS-39&type=RSSTue, 02 Jul 2019 16:01:00 +02002.1 This page is not available in English at the moment Fri 21/06/2019 - 12:00 Position Q&A on foreign exchange trading Q&A on foreign exchange trading 08:21 pmhttps://www.amf-france.org/en/regulation/policy/doc-2011-08#xts=607212&xtor=RSS-39&type=RSSFri, 21 Jun 2019 00:00:00 +02001.2 This instruction is adopted pursuant to the provisions of Articles 711-1 to 715-2 of the AMF General Regulation relating to initial coin offerings. It defines, in particular, the procedures for examination of the information document, describes its content in detail and specifies the conditions applicable to marketing material…https://www.amf-france.org/en/regulation/policy/doc-2019-06#xts=607212&xtor=RSS-39&type=RSSThu, 06 Jun 2019 00:00:00 +02001.0 Instruction 2019-05 clarifies the conditions for the recognition of foreign markets. The revised procedure specifies that a foreign market does not require any recognition provided that non-professional clients are not solicited to carry out transactions on financial instruments tradable within it, either directly or…https://www.amf-france.org/en/regulation/policy/doc-2019-05#xts=607212&xtor=RSS-39&type=RSSTue, 23 Apr 2019 00:00:00 +02004.5 This page is not available in English Fri 30/11/2018 - 12:00 Tue 31/12/2019 - 12:00 Instruction Position limits for commodity derivatives traded on Powernext Position limits for commodity derivatives traded on Powernext …https://www.amf-france.org/en/regulation/policy/doc-2017-11#xts=607212&xtor=RSS-39&type=RSSFri, 30 Nov 2018 00:00:00 +01001.1 Mon 29/10/2018 - 12:00 Reference texts Article 223-1 Recommendation Annual report - 2018 financial statements and review of the 2016-2017 financial statements Annual report - 2018 financial statements and review of the 2016-2017…https://www.amf-france.org/en/regulation/policy/doc-2018-12#xts=607212&xtor=RSS-39&type=RSSMon, 29 Oct 2018 00:00:00 +01003.6 This page is not available in English. Tue 23/10/2018 - 12:00 Book 3 Book 4 Instruction Application of business conduct rules to marketing of units or shares in UCITS or AIFs by asset management companies, management companies or…https://www.amf-france.org/en/regulation/policy/doc-2008-04#xts=607212&xtor=RSS-39&type=RSSTue, 23 Oct 2018 00:00:00 +02001.0 Tue 23/10/2018 - 12:00 Thu 17/10/2019 - 12:00 Reference texts Article 314-11 of the General Regulation Book 3 Instruction Agreements concluded by investment service providers with non-professional clients…https://www.amf-france.org/en/regulation/policy/doc-2018-11#xts=607212&xtor=RSS-39&type=RSSTue, 23 Oct 2018 00:00:00 +02004.3 This page is not available in English at the moment Thu 18/10/2018 - 12:00 Book 3 Instruction Investment decision and order execution support services Investment decision and order execution support services 12:05…https://www.amf-france.org/en/regulation/policy/doc-2007-02#xts=607212&xtor=RSS-39&type=RSSThu, 18 Oct 2018 00:00:00 +02003.6 This page is not available in English Mon 08/10/2018 - 12:00 Position Requirement to offer a guarantee (of the formula and/or capital, as appropriate) for structured UCITS and AIFs, "guaranteed" UCITS and AIFs and structured debt securities issued by special…https://www.amf-france.org/en/regulation/policy/doc-2013-12#xts=607212&xtor=RSS-39&type=RSSMon, 08 Oct 2018 00:00:00 +02001.8 This page is not available in English Sat 21/07/2018 - 12:00 Book 2 Instruction Informations à founir aux investisseurs dans le cadre d'une offre ouverte au public d'un montant inférieur à 8 millions d'euros …https://www.amf-france.org/en/regulation/policy/doc-2018-07#xts=607212&xtor=RSS-39&type=RSSSat, 21 Jul 2018 00:00:00 +02003.2 Position DOC-2005-14 provides detail on the provisions that apply to the management of professional specialised funds, notably regarding these funds' ability to invest in funds that do not meet the criteria set out in Article 422-95 of the AMF General Regulation, and to trade forward contracts whose underlying asset is…https://www.amf-france.org/en/regulation/policy/doc-2005-14#xts=607212&xtor=RSS-39&type=RSSTue, 26 Jun 2018 00:00:00 +02002.0 Recommendation DOC-2017-07 recalls the legislative and regulatory provisions that apply to investment service providers, crowdfunding investment advisers and financial investment advisers. It also set out recommendations on investor information on performance simulation tools and technical aspects to designing these simulation…https://www.amf-france.org/en/regulation/policy/doc-2017-07#xts=607212&xtor=RSS-39&type=RSSTue, 26 Jun 2018 00:00:00 +02004.0 This instruction presents the methods for calculating global exposure of authorised UCITS and AIFs. After going over the scope of application, perimeter and definition of the global risk of an authorised UCITS or AIF, the instruction explains the commitment calculation approach (conversion methods, netting and hedging rules,…https://www.amf-france.org/en/regulation/policy/doc-2011-15#xts=607212&xtor=RSS-39&type=RSSTue, 26 Jun 2018 00:00:00 +02004.2 This page is not available in English. Tue 26/06/2018 - 12:00 Position Frequently asked questions on the transposition of the AIFM Directive into French law Frequently asked questions on the transposition of the AIFM Directive into French law …https://www.amf-france.org/en/regulation/policy/doc-2013-22#xts=607212&xtor=RSS-39&type=RSSTue, 26 Jun 2018 00:00:00 +02002.9 Position DOC-2014-09 incorporates the ESMA guidelines (2014/869/EN) on reporting obligations laid down in the AIFM Directive. It specifies the information that French asset management companies or legal entities – where the latter manager an AIF – and internally-managed AIFs must report to the AMF, when they must report it,…https://www.amf-france.org/en/regulation/policy/doc-2014-09#xts=607212&xtor=RSS-39&type=RSSTue, 26 Jun 2018 00:00:00 +02006.13 Tue 26/06/2018 - 12:00 Reference texts Articles 313-32, 313-42, 318-23 and 318-33 of the General Regulation Book 3 Instruction Examination for the issuance of professional licences to compliance and internal control officers…https://www.amf-france.org/en/regulation/policy/doc-2006-09#xts=607212&xtor=RSS-39&type=RSSTue, 26 Jun 2018 00:00:00 +02003.2 Tue 26/06/2018 - 12:00 Reference texts Articles 319-21 to 319-25, 321-132 to 321-134, 321-158 and 321-159 of the General Regulation Position Recommendation Exercising voting rights for asset management companies …https://www.amf-france.org/en/regulation/policy/doc-2005-19#xts=607212&xtor=RSS-39&type=RSSTue, 26 Jun 2018 00:00:00 +02004.2 Position-recommendation DOC-2009-24 provides clarifications on the scope and notification procedure for changes in the ownership structure of asset management companies (particularly including the content of the documentation to be transmitted to the AMF and the people responsible for notification). Wed 09/05…https://www.amf-france.org/en/regulation/policy/doc-2009-24#xts=607212&xtor=RSS-39&type=RSSWed, 09 May 2018 00:00:00 +02002.0 AMF position DOC-2017-10 aims to incorporate the European supervisory authorities' joint guidelines on the prudential assessment of acquisitions and increases of qualifying holdings in asset management companies into the AMF's regulatory practices. Wed 09/05/2018 - 12:00 Reference texts …https://www.amf-france.org/en/regulation/policy/doc-2017-10#xts=607212&xtor=RSS-39&type=RSSWed, 09 May 2018 00:00:00 +02002.6 This page is not available in English. Mon 15/01/2018 - 12:00 Fri 06/12/2019 - 12:00 Book 2 Instruction Information à diffuser en cas d'offre au public ou d'admission aux négociations de titres financiers sur un marché…https://www.amf-france.org/en/regulation/policy/doc-2016-04#xts=607212&xtor=RSS-39&type=RSSMon, 15 Jan 2018 00:00:00 +01001.1 The AMF is supplementing its Position DOC-2013-02 on collecting know-your client information in a Position/Recommendation dedicated to the risks brought about by the digitisation of relationships between the service provider and its client for the provision of investment services. Wed 03/01/2018 - 12:00 …https://www.amf-france.org/en/regulation/policy/doc-2017-08#xts=607212&xtor=RSS-39&type=RSSWed, 03 Jan 2018 00:00:00 +01001.6 Fri 27/10/2017 - 12:00 Reference texts Article 223-1 Recommendation 2017 Financial Statements 2017 Financial Statements 09:20 am AMF Recommendation 2017 financial statements -…https://www.amf-france.org/en/regulation/policy/doc-2017-09#xts=607212&xtor=RSS-39&type=RSSFri, 27 Oct 2017 00:00:00 +02002.0 Mon 24/04/2017 - 12:00 Wed 03/01/2018 - 12:00 Reference texts Articles 580-1, 580-2 and 580-3 of the AMF General Regulation Book 5 Instruction Agricultural commodities futures market …https://www.amf-france.org/en/regulation/policy/doc-2015-04#xts=607212&xtor=RSS-39&type=RSSMon, 24 Apr 2017 00:00:00 +02001.5 This page is not available in English Thu 02/02/2017 - 12:00 Book 2 Instruction Modalités de déclaration des opérations réalisées dans le cadre des interventions des émetteurs cotés sur leurs propres titres et des mesures de stabilisation …https://www.amf-france.org/en/regulation/policy/doc-2017-03#xts=607212&xtor=RSS-39&type=RSSThu, 02 Feb 2017 00:00:00 +01001.1 Wed 01/02/2017 - 12:00 Reference texts Section 11 of Article 11 of Regulation (EU) No 596/2014 of the European Parliament and of the Council of 16 April 2014 on market abuse Links MAR Guidelines - Persons receiving…https://www.amf-france.org/en/regulation/policy/doc-2017-02#xts=607212&xtor=RSS-39&type=RSSWed, 01 Feb 2017 00:00:00 +01003.14 The AMF is applying ESMA guidelines on remuneration policies for alternative investment fund managers (ESMA/2013/232). The AMF is incorporating these guidelines into a position that makes certain clarifications to prevent poorly designed remuneration structures from adversely affecting risk management and control. Some of the…https://www.amf-france.org/en/regulation/policy/doc-2013-11#xts=607212&xtor=RSS-39&type=RSSTue, 20 Dec 2016 00:00:00 +01001.0 Thu 10/11/2016 - 12:00 Wed 05/06/2019 - 12:00 Reference texts Article 223-1 of the AMF General Regulation Recommendation Implementation and information to be disclosed under IFRS 9 – Financial instruments …https://www.amf-france.org/en/regulation/policy/doc-2016-12#xts=607212&xtor=RSS-39&type=RSSThu, 10 Nov 2016 00:00:00 +01001.4 Thu 03/11/2016 - 12:00 Reference texts Article 223-1 of the AMF General Regulation Recommendation 2016 financial statements 2016 financial statements 09:20 am Document creation…https://www.amf-france.org/en/regulation/policy/doc-2016-09#xts=607212&xtor=RSS-39&type=RSSThu, 03 Nov 2016 00:00:00 +01001.0 Thu 21/07/2016 - 12:00 Wed 05/06/2019 - 12:00 Reference texts Article 223-1 du Règlement général Links Public statement ESMA/2016/1148 Recommendation …https://www.amf-france.org/en/regulation/policy/doc-2016-03#xts=607212&xtor=RSS-39&type=RSSThu, 21 Jul 2016 00:00:00 +02006.7 This page is not available in English. Thu 30/06/2016 - 12:00 Thu 17/10/2019 - 12:00 Position Recommendation Professional obligations towards retail clients imposed on investment services providers managing a portfolio on behalf of a third…https://www.amf-france.org/en/regulation/policy/doc-2007-21#xts=607212&xtor=RSS-39&type=RSSThu, 30 Jun 2016 00:00:00 +02002.3 This page is not available in English at the moment Fri 17/06/2016 - 12:00 Thu 28/11/2019 - 12:00 Position Recommendation Guidelines on the obligation to report suspicious transactions to TRACFIN Guidelines on the obligation…https://www.amf-france.org/en/regulation/policy/doc-2010-23#xts=607212&xtor=RSS-39&type=RSSFri, 17 Jun 2016 00:00:00 +02002.1 These questions and answers about the marketing of investment vehicles primarily for tax deduction purposes indicate the types of vehicles that can be marketed, the categories of professionals that can advise retail clients to subscribe or purchase units in authorised venture capital funds (FCPR, a FCPI or a FIP), or shares in…https://www.amf-france.org/en/regulation/policy/doc-2008-20#xts=607212&xtor=RSS-39&type=RSSTue, 01 Dec 2015 00:00:00 +01002.4 Position DOC-2008-15 makes certain clarifications with regard to funds of hedge funds in France, particularly the investment process (selection, allocation and monitoring of funds), the implementation of a risk management system, investor information (via the allotment letter) and internal audit. Tue 01/12…https://www.amf-france.org/en/regulation/policy/doc-2008-15#xts=607212&xtor=RSS-39&type=RSSTue, 01 Dec 2015 00:00:00 +01001.2 Thu 26/11/2015 - 12:00 Reference texts Article 223-1 of the AMF General Regulation Links 2015 AMF study on programmes set up by listed companies to communicate with individual shareholders …https://www.amf-france.org/en/regulation/policy/doc-2015-10#xts=607212&xtor=RSS-39&type=RSSThu, 26 Nov 2015 00:00:00 +01001.2 Thu 26/11/2015 - 12:00 Reference texts Article 223-1 of the AMF General Regulation Links 2015 AMF study on programmes set up by listed companies to communicate with individual shareholders …https://www.amf-france.org/en/regulation/policy/doc-2015-09#xts=607212&xtor=RSS-39&type=RSSThu, 26 Nov 2015 00:00:00 +01001.1 Wed 28/10/2015 - 12:00 Reference texts Article 223-1 Recommendation 2015 Financial Statements 2015 Financial Statements 08:23 pm Document created on 28 October 2015 1 / 12 This…https://www.amf-france.org/en/regulation/policy/doc-2015-08#xts=607212&xtor=RSS-39&type=RSSWed, 28 Oct 2015 00:00:00 +01002.4 AMF Instruction DOC-2011-01 details the requirements and procedures for obtaining approval of a prospectus and the methods for marketing financial securities issued by a securitisation vehicle. These details also apply to the contents and distribution requirements for the prospectus and periodic information. …https://www.amf-france.org/en/regulation/policy/doc-2011-01#xts=607212&xtor=RSS-39&type=RSSThu, 23 Jul 2015 00:00:00 +02001.7 Wed 17/06/2015 - 12:00 Reference texts Article 223-2 AMF general regulation Article 236-6 AMF general regulation Position Recommendation Major Asset Disposals and Acquisitions Major Asset…https://www.amf-france.org/en/regulation/policy/doc-2015-05#xts=607212&xtor=RSS-39&type=RSSWed, 17 Jun 2015 00:00:00 +02004.8 This page is not available in English at the moment Mon 13/04/2015 - 12:00 Fri 08/01/2021 - 12:00 Position Recommendation Guide d'élaboration des documents de référence Guide d'élaboration des documents de…https://www.amf-france.org/en/regulation/policy/doc-2009-16#xts=607212&xtor=RSS-39&type=RSSMon, 13 Apr 2015 00:00:00 +02001.1 The legislative and regulatory provisions governing agreements drawn up between the manufacturers of financial instruments and the distributors of such instruments cover the validation of promotional communications and the transmission of information about the product being marketed. These agreements are a way of enabling…https://www.amf-france.org/en/regulation/policy/doc-2014-05#xts=607212&xtor=RSS-39&type=RSSThu, 01 Jan 2015 00:00:00 +01002.2 This page is not available in English at the moment Thu 06/11/2014 - 12:00 Tue 11/10/2022 - 12:00 Position Collecting 'know-your-client' information Collecting 'know-your-client' information 08:21 pmhttps://www.amf-france.org/en/regulation/policy/doc-2013-02#xts=607212&xtor=RSS-39&type=RSSThu, 06 Nov 2014 00:00:00 +01002.4 This page is not available in English Thu 06/11/2014 - 12:00 Thu 28/11/2019 - 12:00 Position Recommendation Guidelines regarding the prevention of money laundering and terrorist financing Guidelines regarding the prevention…https://www.amf-france.org/en/regulation/policy/doc-2010-22#xts=607212&xtor=RSS-39&type=RSSThu, 06 Nov 2014 00:00:00 +0100