Aggregated News From Investment Management Regulators


Appointments to the Legal Affairs Directorate and Enforcement Assistance Directorate of the Autorité des Marchés Financiers

Maxence Delorme has been appointed Director of Legal Affairs with effect from 1 August 2022. He was previously Director of Enforcement Assistance at the AMF.

The ACPR and AMF Joint Unit for Insurance, Banking and Retail Investment publishes its 2021 annual report

In 2021, the Joint Unit completed several of its theme-based projects. Work on the digital marketing of financial savings products continued throughout 2021.

Inheritance: an abnormally long execution time may sometimes prove profitable

The facts In early September 2020, Ms A acting as heir of her deceased father, Mr A, requested the sale of the securities held in her father’s PEA plan, opened in the books of the institution X

Digital assets: the AMF updates its policy on DASPs

The AMF has revised its policy (Position DOC-2020-07) on the regime for digital asset service providers to reflect changes in the products and business models of industry players.

Assessing appropriateness and execution only in MiFID II: the AMF applies the ESMA guidelines

The Autorité des Marchés Financiers (AMF) has published a Position DOC-2022-03 to incorporate the guidelines of the European Securities and Markets Authority (ESMA) on the appropriateness and execut

AMF Ombudsman Annual Report 2021

The AMF mediator has published his 2021 report. A year of records for AMF mediation: +33% of files received, +41% of files handled and +51% of opinions issued.

The AMF reiterates its call for a European regulation of ESG data, ratings, and related services

In its response to the European Commission’s public consultation on ESG ratings, the AMF reiterates the need for a European regulatory framework for providers of ESG data, ratings and related

Keynote speech by Robert Ophèle, AMF Chairman – WFC2022 Conference organized by ECSDA: “Contribution of Central Securities Depositories to local and global economies” –...

Check against delivery  Many thanks to ECSDA for inviting me, at the end of my tenure as the head of the French AMF, to share some thoughts with you on how CSDs contribute to the smooth functioning o

The AMF publishes a summary of its findings regarding the costs and fees of UCITS marketed to retail investors

Each year, the European Securities and Markets Authority (ESMA) sets up two strategic priorities for supervision at European level.

The AMF updates its policy on funds with high fees

Following the Common Supervisory Action (CSA) on the practices of portfolio asset management companies with regard to management costs and fees, the AMF has reviewed the marketing of active funds th

Summary of SPOT inspections regarding the implementation in France of the ESMA-coordinated supervisory exercise on the costs and fees of UCITS marketed to retail...

As announced by the Autorité des Marchés Financiers (AMF) when it presented its supervisory priorities for 2021, the AMF took part in the joint supervisory exercise coordinated by ESMA on the costs

The AMF and the ACPR warn the public against unauthorised Forex trading offers from Omega Pro Ltd

The Autorité des Marchés Financiers (AMF) and the Autorité de Contrôle Prudentiel et de Résolution (ACPR), which had already blacklisted in 2020, have added another site belonging to the same company,, which also offers Forex trading services without being authorised to do so. After receiving a number of reports and complaints from retail investors, the AMF and the ACPR placed the trading platform on their Forex blacklist on 6 August 2020. The Institut d’Émission d’Outre-Mer (IEOM), which acts as the central bank for the Pacific Franc zone, has informed the two supervisory authorities that Omega Pro Ltd...

Regulator Information

Abbreviation: ASIC
Jurisdiction: Australia
Abbreviation: BCSC
Jurisdiction: Canada
Abbreviation: BVI FSC
Jurisdiction: British Virgin Islands
Abbreviation: CSA
Jurisdiction: Canada
Regulator Name: Capital Market Authority
Abbreviation: CMA
Jurisdiction: Saudi Arabia
Abbreviation: CIMA
Jurisdiction: Cayman Islands
Regulator Name: Central Bank of Armenia
Abbreviation: CBA
Jurisdiction: Armenia
Regulator Name: Central Bank of Iceland
Abbreviation: CB IS
Jurisdiction: Iceland
Abbreviation: CBR
Jurisdiction: Russian Federation
Abbreviation: CSRC
Jurisdiction: China
Abbreviation: CSSF
Jurisdiction: Luxembourg
Abbreviation: CFTC
Jurisdiction: USA
Abbreviation: CFPB
Jurisdiction: United States
Abbreviation: HANFA
Jurisdiction: Croatia
Abbreviation: CySEC
Jurisdiction: Cyprus
Abbreviation: DFSA
Jurisdiction: Denmark
Abbreviation: AFM
Jurisdiction: Netherlands
Regulator Name: European Banking Authority
Abbreviation: EBA
Jurisdiction: Supranational
Abbreviation: EIOPA
Jurisdiction: Supranational
Abbreviation: ESMA
Jurisdiction: ESMA
Abbreviation: FDIC
Jurisdiction: United States
Regulator Name: Federal Reserve System
Abbreviation: FRB US
Jurisdiction: United States
Abbreviation: FRA
Jurisdiction: Egypt
Abbreviation: FCNB
Jurisdiction: Canada
Regulator Name: Financial Conduct Authority
Abbreviation: FCA
Jurisdiction: United Kingdom
Abbreviation: FinCEN
Jurisdiction: United States
Abbreviation: FINRA
Jurisdiction: United States
Regulator Name: Financial Market Authority
Abbreviation: FMA
Jurisdiction: Austria
Regulator Name: Financial Markets Authority
Abbreviation: AMF
Jurisdiction: Canada
Regulator Name: Financial Markets Authority
Abbreviation: AMF
Jurisdiction: France
Regulator Name: Financial Markets Authority
Abbreviation: FMA
Jurisdiction: New Zealand
Abbreviation: FSMA
Jurisdiction: Belgium
Abbreviation: SFC
Jurisdiction: Colombia
Abbreviation: FIN-FSA
Jurisdiction: Finland
Abbreviation: FME IS
Jurisdiction: Iceland
Abbreviation: FSA
Jurisdiction: Norway
Abbreviation: IOMFSA
Jurisdiction: Isle of Man
Abbreviation: JFSC
Jurisdiction: Jersey
Abbreviation: MFSA
Jurisdiction: Malta
Abbreviation: MSC
Jurisdiction: Canada
Abbreviation: MAS
Jurisdiction: Singapore
Abbreviation: NFA
Jurisdiction: United States
Abbreviation: CNV
Jurisdiction: Argentina
Abbreviation: OFAC
Jurisdiction: United States
Abbreviation: OCC
Jurisdiction: United States
Abbreviation: OSC
Jurisdiction: Canada
Abbreviation: CMVM
Jurisdiction: Portugal
Abbreviation: SEBI
Jurisdiction: India
Abbreviation: FSA
Jurisdiction: Japan
Abbreviation: SEC
Jurisdiction: United States
Abbreviation: SEC NG
Jurisdiction: Nigeria
Abbreviation: SEC TH
Jurisdiction: Thailand
Abbreviation: CVM
Jurisdiction: Brazil
Abbreviation: SFC
Jurisdiction: Hong Kong
Regulator Name: State Securities Commission
Abbreviation: SSC
Jurisdiction: Vietnam
Abbreviation: FI
Jurisdiction: Sweden
Abbreviation: FINMA
Jurisdiction: Switzerland
Abbreviation: UST
Jurisdiction: United States

Recent Articles

Proposed Rule Change to Amend FINRA Rule 2231 (Customer Account Statements)

Financial Industry Regulatory Authority, Inc.

Revision of Recommendation 25 – White Paper for Public Consultation

The Financial Action Task Force (FATF) is conducting a review of Recommendation 25 (R.25) on the transparency and beneficial ownership (BO) of legal arrangements....

ASIC warns super trustees to be transparent in their underperformance communications to members

ASIC today released the findings from its review of superannuation trustees’ communications with their members following the first annual performance test for MySuper products. The...

EBA replies to European  Commission’s call for advice on the Mortgage Credit Directive review

The European Banking Authority (EBA) published today an Opinion and Report in response to the European Commission’s Call for Advice (CfA) on the review of the Mortgage Credit Directive (MCD) .

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