Aggregated News From Investment Management Regulators


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...

With the publication of its 2021 annual report, the AMF reviews its five-year strategic plan, #Supervision2022

The AMF has reviewed the actions taken in 2021 to ensure investor protection as well as the smooth operation of financial markets, and assessed them in light of the strategic orientations set for 20

The AMF Enforcement Committee fines a Dutch trading firm and three Dutch traders for price manipulation

In its decision of 6 May 2022, the Enforcement Committee imposed fines of between €80,000 and €400,000 on Nyenburgh Holding B.V.

Personal equity savings plans: unlisted securities of a company in court-ordered liquidation may be withdrawn from the plan without entailing its closure

The facts On 28 December 2020, Mr B requested that his PEA account, held with institution X, be transferred to a new account keeper.

War in Ukraine: the AMF alerts asset management companies

Implementation of international economic sanctions (as at 25 April 2022) To counter Russia’s military aggression in Ukraine, the European Union has adopted five series of sanctions, with indivi

The AMF launches a consultation on the integration of sustainability requirements into its General Regulation

Following the adoption by the European Commission of a comprehensive package of measures to reorient capital flows towards sustainable activities across the European Union, the AMF has launched a co

Appointments in the Investigations Directorate and the Asset Management Directorate

Marianick Darnis Lorca, hitherto Deputy Head of the Investigations Directorate, has been appointed Head of Investigations.

A stop loss order does not give investors control over the execution price

The facts On 19 January 2021, Mr G placed two sell orders for a closing auction security on Euronext Paris, shortly before the start of the preparation of the closing auction.

The ACPR and AMF are urging professionals to improve their practices in online marketing of savings products and financial instruments

Studies conducted by the Autorité de Contrôle Prudentiel et de Résolution (ACPR) and the Autorité des Marchés Financiers (AMF) have highlighted good practices and some shortcomings in the informatio

Regulator Information

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

Recent Articles

SEC Proposes to Enhance Disclosures by Certain Investment Advisers and Investment Companies About ESG Investment Practices

The Securities and Exchange Commission today proposed amendments to rules and reporting forms to promote consistent, comparable, and reliable information for investors concerning funds’ and advisers’

SEC Proposes Rule Changes to Prevent Misleading or Deceptive Fund Names

The Securities and Exchange Commission today proposed amendments to enhance and modernize the Investment Company Act “Names Rule” to address changes in the fund industry and compliance practices that

SEC Halts Alleged Ongoing $39 Million Fraud by Hedge Fund Adviser

The Securities and Exchange Commission today announced fraud charges against Detroit-based EIA All Weather Alpha Fund I Partners LLC (EIA) and its sole owner, Andrew M.

SEC Charges RiverSource Distributors with Improper Switching of Variable Annuities

The Securities and Exchange Commission today announced settled charges against RiverSource Distributors Inc. for improper switching or replacing of variable annuities.

Federal Reserve Board issues Economic Well-Being of U.S. Households in 2021 report

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