The AMF publishes the findings of its inspections on the role and involvement of the compliance function at investment services providers
Why this matters
This regulatory update from the AMF focuses on the role and involvement of the compliance function at investment services providers, particularly in areas such as employee training, remuneration, personal transactions, and disciplinary measures. This is relevant for banking, investment management, and capital markets firms that need to ensure effective compliance oversight and controls.
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What the AMF said
Supervision Compliance Journalists Investment services providers The AMF publishes the findings of its inspections on the role and involvement of the compliance function at investment services providers
Published by AMF . Read the full notice at the source for the authoritative text.
Context
Autorite des Marches Financiers (AMF) — France's financial markets regulator. We track 675 updates from them.
French financial markets are regulated by the AMF and ACPR. Browse all France updates.
This update is classified under Prudential / Capital Requirements, Operational Resilience / Outsourcing, Reporting & Disclosure and Banking & Credit.