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SPOT inspection campaigns

Summary of Spot Inspections on MIFID I / MIFID II clients' knowledge and experience

Published on October 18, 2018

As part of its new #Supervision2022 strategy, the Autorité des marchés financiers is carrying out new types of inspection, known as SPOT (Supervision des Pratiques Opérationnelle et Thématique - operational and thematic supervision of practices). Today it publishes the summary of five of these inspections, carried out at the beginning of 2018 and focusing on the gathering of information on clients, particularly that relating to their investment knowledge and experience, in application of the rules set out in the European directives MiFID I and MiFID II

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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