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Titre clair et concis du tableau13 February 2024 | Policy | Position DOC-2018-03 … of financial instruments without a firm commitment basis, investment advice and consultancy services provided to firms in relation to capital structure, … and mergers and acquisitions … Other professionals Investment services providers Investment services Policy … … |
13 February 2024 | Policy | Position DOC-2008-23 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. … Questions and answers on the concept of investment service of investment advice … Other professionals Investment services Financial services providers Policy These questions … |
12 February 2024 | Article | Make my reporting, notifications and disclosure to the AMF MiFID II transaction reporting, annual RCSI questionnaire, suspicious transaction reporting, disclosure of net short positions, notifications under CSDR, MAR or EMIR. Find here the list of your reporting obligations and the procedures for submission to the AMF for each type of information. … in terms of financial instruments, and fuller information. Investment services providers (ISPs) that execute transactions on … day (D+1 23 :59 :59, D being the transaction date). Only investment services providers that execute transactions are … |
12 February 2024 | News | The European single access point for financial and non-financial information on European entities (ESAP) enters its implementation phase The ESAP regulation and associated texts have been published in the Official Journal of the European Union. The regulation provides for the access point to be operational from 10 July 2027 at the latest. Some of the technical characteristics of the project are submitted to public consultation until 8 March 2024. … (EU) No 600/2014 (MiFIR) Regulation (EU) 2019/2033 (Investment firm regulation) Regulation (EU) No537/2014 (Audit … publicly available information of relevance to financial services, capital markets and sustainability Directive (EU) … … News … Market Infrastructures … Professional investors … Investment management companies … Listed companies and … |
06 February 2024 | AMF news release | AMF encourages investment services providers to strengthen their procedures for handling client complaints In a series of short, thematic inspections carried out at five institutions, the AMF found a number shortcomings in terms of compliance with the applicable requirements. In a summary document, it revisits the regulations, explains its expectations, and highlights the good and poor practices observed. … AMF encourages investment services providers to strengthen their procedures for … the AMF took stock of the procedures in place at five investment service providers between 1 January 2020 and 31 … |
06 February 2024 | Spot Inspections | Summary of SPOT inspections on the handling of complaints by investment services providers As part of its strategic orientations which place investor protection at the top of its priorities, the AMF carried out a series of short thematic inspections of five institutions' customer complaint handling systems. This summary document reviews regulations and main lessons to be learned from the practices observed. … of SPOT inspections on the handling of complaints by investment services providers … Télécharger le contenu As part of its … of SPOT inspections on the handling of complaints by investment services providers … … |
01 February 2024 | News | The AMF reminds investment firms of the rules for identifying retail investors when reporting transactions The Autorité des Marchés Financiers (AMF) is running a campaign to verify the quality of data in the MiFIR transaction reporting fields relating to retail investors. … The AMF reminds investment firms of the rules for identifying retail … be accurate and completed according to precise standards. Investment Services Compliance Officers (RCSIs) and reporting teams are … |
30 January 2024 | Warning | The AMF warns the public about fraudulent press advertisements proposing investments in car parks with electric charging points Following reports from both investors and media company directors, the Autorité des marchés financiers (AMF) is calling for the utmost vigilance with regard to proposals to invest in "car parks equipped with electric charging points", through advertisements touting this investment, which may impersonate existing companies. These advertisements… … to invest are presented to the public. There are no investment risk warnings. “Contractual takeover guarantees … apply a few rules of vigilance before investing: Beware of investment advertising where the advertiser cannot be … mean that it is authorised to provide you with financial services. However, you should be aware that cases of … |
26 January 2024 | Policy | Position DOC-2024-01 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 … for reporting under EMIR … Market Infrastructures Investment services providers Investment management companies Compliance EMIR Policy On … |
25 January 2024 | Form/Reporting | UCITS & Investment funds - ELTIF AIF - forms & declarations … UCITS & Investment funds - ELTIF AIF - forms & declarations … … form for the authorisation of European Long-Term Investment Funds (ELTIF) Télécharger le contenu UCITS & … AIF - forms & declarations … Form/Reporting … Investment services providers … Investment management companies … UCITS … |
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