Regulatory Watch – Asset Management Q1 2019

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 first quarter of 2019. The publication also includes general regulatory updates from the United Kingdom, United States and European Union.

Highlights include:

  • AMF doctrine
  • MiFID II suitability requirements
  • Guide to monitoring collective investment undertakings
  • Commission nationale de l'informatique et des libertés’ (CNIL) guidance on General Data Protection Regulation (GDPR)
  • Recent FCA and SEC Enforcement Action
  • Latest regulatory position on Brexit
 
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