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.

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Kroll advises and assists investment services companies in setting out and implementing governance, risk management, compliance and internal controls in line with the requirements of the AMF (Autorité des Marchés Financiers – the French Financial Markets Authority) and other regulatory authorities. 

We provide a range of services to the French financial services industry, including:

  • Applications for approval of new management companies, applications for extension of approval, and the creation or transfer of internal control funds
  • Advising French and foreign managers on asset management in France in accordance with the AIFM, MiFID II and UCITS directives
  • Support on specific regulatory, risk and compliance topics such as market abuse, financial crime prevention and cybersecurity
  • Assistance with inspections carried out by the national supervisory authority, as well as audits and gap analyses in view of a possible inspection
  • Supporting clients with advice on compliance and internal control matters
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Hannah Rossiter is a director at Duff & Phelps.
Hannah Rossiter
Managing Director
Financial Services Compliance and Regulation

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