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Regulatory News AGAMA N°34

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In the news a focus on RTS 28.

The Summary in detail :

– RTS 28: The new Best Selection & Best Execution reporting under MiFID II

Authorité des Marchés Financiers (AMF)
– Change in marketing doctrine
– Content of discretionary management agreements
– AMF publishes analysis of trends in Initial Coin Offerings (ICOs)
– AMF educational guide on money market funds for asset management companies
– AMF SPOT check : Client knowledge and experience
– AMF SPOT check: regulatory capital for management companies
– AMF SPOT check: valuation of unlisted holdings in private equity firms

Sanctions and settlements by the AMF Enforcement Committee
– Sanction Guinefolleau Irregular marketing of FIAs
– Sanction Interfinance Loison Crespy Irregular marketing of FIAs
– Sanction Signatures Misleading information
– Sanction Axess Finance Failure to comply with the professional obligations of the status of FIA
– Sanction Company X Failure to comply with the professional obligations of the status of FIA

PMS professional associations
– New standard investor questionnaires
– Loi Pacte: corporate purpose of SCPIs
– Tax treatment of commission retrocessions by PMCs to individual investors in UCIs
– AFG: update of the “country sheets” and “cost sheets”

French institutions
– LCB/FT Tracfin: Trends and risk analysis in 2017-2018
– AIFM Q&A update
– MiFID II Q&A 36 update
– MiFID II ESMA: update of the supervisory report on MiFID II compliance