All financial regulatory updates published in January 2022.
Asset management Update of the AMF's policy on funds that use Total Return Swaps and communicate about their consideration of non-financial criteria
Long term investment Retail investors Journalists More than one million new retail investors have entered equity markets in France over the last 3 years, according to the AMF's dashboard
Asset management The AMF informs about the liquidation of the portfolio asset management company « Nestadio Capital »
Long term investment Shares Stimulating the diversification of long-term savings: the AMF proposes an educational approach to equity investment
Sanctions & settlements Journalists The AMF Enforcement Committee fines an issuer's Chief Financial Officer for insider dealing
The AMF Enforcement Committee fined an issuer's Chief Financial Officer (CFO) for insider dealing, highlighting the regulator's aggressive enforcement against market abuse by senior executives. This case underscores the personal liability of insiders who trade on privileged information, reinforcing the need for robust internal controls in listed companies. Compliance teams must prioritize insider trading prevention to mitigate similar sanctions risks. #
Strategy Supervision Other professionals Executive & other private individuals Fintech Market Infrastructures Post-trade Infrastructures Professional investors Journalists Investment services providers ...