In this edition of Regulatory Watch, the experts in Duff & Phelps’ Paris Compliance and Regulatory Consulting team, provide a detailed synopsis of the latest news and publications issued by France’s Autorité des marchés financiers affecting the asset management industry during the fourth quarter of 2018.
Highlights include:
- AMF president’s speech: nine months since the entry into force of MiFID II and the post-Brexit relationship with the UK
- Closing speech of the AMF president
- Rules of good conduct when AIFs or UCITS are marketed by Asset Management Companies
- Shareholders’ rights and voting at the General Meeting
- Marketing of complex financial instruments
- The AMF updates its policy on voting at General Meetings
- Questions-Answers on the rules applicable to financial investment advisers
- Agreements concluded by investment service providers with non-professional clients regarding asset management for third parties
- Procedures for reporting regulatory violations by whistleblowers to the AMF.
- Guide on MMF for the asset management companies
- The AMF unveils its priorities for 2019
- Decisions of the AMF’s Enforcement Commission
- Analysis on the trends of Initial Coin Offerings (ICOs)
- Corporate governance and executive compensation
- Brexit conference
- Key figures for asset management
- Updates from the UK, EU and USA
