Thu, Mar 14, 2019
Regulatory Watch: Asset Management Q4 - 2018
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
Financial Services Compliance and Regulation
End-to-end governance, advisory and monitorship solutions to detect, mitigate, drive efficiencies and remediate operational, legal, compliance and regulatory risk.
European Compliance Services
Comprehensive compliance and regulatory support for EU firms.
French Regulation
A range of support from a review of your suitability arrangements, training, controls and procedures to conducting bespoke reviews on past business activities.
Financial Crime Prevention
Financial crime risk has again risen to the top of the regulatory agenda, and remains one of the most immediate risks for many firms, with criminals constantly seeking new ways to circumvent protective controls.
Anti-Money Laundering
Kroll’s anti-money laundering (AML) solutions are designed to help minimize the risks associated with money laundering and other illicit activities and to ensure compliance through the development and management of ongoing compliance programs and processes.