Aggregated News From Investment Management Regulators


The AMF Ombudsman publishes her 2022 Annual Report

Record number of cases processed and recommendations The number of case referrals to the AMF Ombudsman, which had surged by 33% in 2021, remained practically stable last year, at 1,900 requests, i.e.

All the information communicated by an adviser to a retail investor must be accurate, clear and not misleading

The facts Mr S solicited his adviser in February 2021 to acquire new units of an SCPI fund.

Speech by Marie-Anne Barbat-Layani, AMF Chair, The AMF: “a pivotal position at the heart of financial regulation” – General Assembly of the French Association...

Check against delivery Mr President, dear Daniel Biarneix,Ladies and Gentlemen, I would like to thank you very much for inviting me to speak this morning as the new Chair of the AMF, before your Gene

The AMF Enforcement Committee sanctions an asset management company and two of its managers for breaches of their professional obligations

In its decision of 16 May 2023, the Enforcement Committee handed down a fine of €400,000 and a warning to the asset management company Apicap.

Central counterparties’ recovery plan: AMF complies with ESMA guidelines on recovery plan indicators and scenarios

The AMF updates its doctrine with a new position DOC-2023-04 implementing ESMA guidelines on recovery plan indicators and scenarios for clearing houses in accordance with the Regulation relating to

MiFID II remuneration requirements: the AMF applies the ESMA Guidelines

The Autorité des Marchés Financiers (AMF) has published a Position DOC-2023-04 to incorporate the guidelines of the European Securities and Markets Authority (ESMA) on certain aspects of the MiFID I

Reporting under Article 29 of the Energy-Climate Law: the AMF updates its policy on how to prepare and submit reports

Following the approval of amendments to its General Regulation, the AMF has updated its policy to specify the procedures for preparing and submitting the report required under Article 29 of the Ener

The AMF revises position limits applicable to agricultural commodity derivatives

Following the April 20, 2022 amendment of European Commission Delegated Regulation 2022/1302 supplementing Directive 2014/65/EU on markets in financial instruments (MiFID2), the AMF has revised the

The AMF Enforcement Committee fines a portfolio asset management company and its manager for breaches of their professional obligations

In its decision of 24 April 2023, the Enforcement Committee handed down a warning and a fine of €200,000 to the portfolio asset management company Melanion Capital, and a warning and a fine of €150,

Equity savings plans : the AMF working group proposes avenues for improvement

In response to the rise in investor complaints about PEAs, which became the leading reason for referrals to the AMF Ombudsman in 2021, the AMF Board decided to set up a working group made up of repre

Provision of market data: the AMF conducts a series of SPOT inspections and identifies shortcomings in compliance with requirements

Market data is of great importance to a diverse range of market participants.

Summary of SPOT inspections on the provision of market data

In line with the supervisory priorities of the Autorité des Marchés Financiers for 2022 and in relation to the strategic supervisory priorities of the European Union, a series of short thematic “SPO

Regulator Information

Regulator Name: Financial Markets Authority
Abbreviation: AMF
Jurisdiction: France

Recent Articles

SEC Charges Coinbase for Operating as an Unregistered Securities Exchange, Broker, and Clearing Agency

Coinbase also charged for the unregistered offer and sale of securities in connection with its staking-as-a-service program. The Securities and Exchange Commission today charged Coinbase, Inc.

ESMA publishes follow-up report to the peer review on the Guidelines on ETFs and other UCITS issues

See the content published by the European Securities and Markets Authority (ESMA) here: Read more

Deputy Director General Jyri Helenius assigned as Head of Director General’s Staff at Financial Supervisory Authority

The Board of the Financial Supervisory Authority (FIN-FSA) has assigned Deputy Director General Jyri Helenius to handle the duties of the Head of Director...

Novellie, Verardi & Mitchell

Published on: 05 June 2023 Designated Businesses (Registration & Oversight) Act 2015 Novellie, Verardi & Mitchell Notice is hereby given that Novellie, Verardi & Mitchell, which was registered under

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