Aggregated News From Investment Management Regulators

Summary of SPOT inspections on compliance with the new mifid 2 provisions on portfolio management for third parties


Please complete the required fields.

As announced in the AMF’s supervision priorities for 2019, a series of short thematic “SPOT”inspections relating to portfolio management for third parties (“portfolio management”) was carried out in 2019. These inspections were conducted as part of the new provisions introduced by Directive 2014/65/EU of 15 May 2014 on markets in financial instruments (“MiFID 2”), supplemented by Commission Delegated Regulation (EU) 2017/565 of 25 April 2016. The SPOT inspections involved a sample of five investment services providers (“ISPs”) targeting exclusively credit institutions authorised to provide portfolio management services on behalf of third parties. The inspections carried out covered the period 2018-2019.

Regulator Information

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

Recent Articles

December 2021 Monthly Report

Overview of supervised entities’ activities in the financial services sector for December 2021 PENSION FUNDS SECOND PILLAR PENSION FUNDS At the end of December 2021, mandatory pension funds (MPFs)

FINMA to implement countercyclical capital buffer

The Federal Council decided on 26 January 2022 to reactivate the countercyclical capital buffer on residential properties.

Innovation : focus on the actions carried out by the AMF

The AMF’s commitments The AMF defined the main thrusts of its #Supervision2022 strategy with a major focus on supporting innovation and stakeholders for the period between 2018 and 2022.

Risk Warning Regarding Cloned Website

The Guernsey Financial Services Commission has become aware that a website has been established cloning the Commission’s own website (The GFSREA – Guernsey Financial Services and Regulatory Enforceme

Get the latest from Regulatory.News in your inbox!