The Autorité des Marchés Financiers publishes the findings of its SPOT inspections on asset management companies’ compliance and internal control systems
Why this matters
This regulatory update from the AMF focuses on the findings of SPOT inspections on the compliance and internal control systems of asset management companies. It covers key areas such as the organization and resources of the compliance function, control plans, follow-up on recommendations, periodic control, and reporting to senior management. The update also highlights good and poor practices identified. This is relevant for asset managers to understand the regulator's expectations and priorities in this area.
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What the AMF said
Supervision Asset management Compliance Journalists Investment management companies The Autorité des Marchés Financiers publishes the findings of its SPOT inspections on asset management companies’ compliance and internal control systems
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 Operational Resilience / Outsourcing, Reporting & Disclosure, Investment Management and Wealth & Private Banking.