Regulatory Watch – Asset Management Q3

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 third quarter of 2018.

Highlights include:

  • Implementation of the MMF Regulation: the AMF assists asset management companies in their authorization and management process 
  • AMF’s Enforcement Committee sanctions
  • Results of the AMF’s “Online investment subscription” surprise visits campaign
  • Cooperation between the financial markets’ surveillance authorities
  • Stress test scenarios on money market funds
  • Fight against money laundering and financing of terrorism
  • Marketing of Financial instruments
  • Updates on the European Union and Securities Exchange Commission
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