Thu, Mar 14, 2019

Regulatory Watch: Asset Management Q4 - 2018

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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

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