Knowledge Base

← French, European, and International Institutional and Regulatory Framework

Questions

Which recent regulations have been incorporated into the General Regulation?

MiFID II/MiFIR, AIFMD, UCITS V, SFDR, MiCA, DORA, Listing Act
Solvency II, Basel III, CRD IV/CRR, IFRS 9
Dodd-Frank Act, Volcker Rule, Basel III
GDPR, eIDAS, PSD2

Which article of the Code monétaire et financier establishes the AMF General Regulation?

Article L.621-1
Article L.621-5
Article L.621-6
Article L.621-7

What is the primary role of Book VII of the General Regulation?

Regulating regulated markets
Governing crypto-assets and related services
Defining rules for UCITS
Managing market abuse

What are the stages of the AMF General Regulation drafting process?

Identifying the need, public consultation, adoption, approval, publication
Proposal by stakeholders, Board vote, approval, publication, evaluation
Feasibility study, internal consultation, adoption, approval, evaluation
Identifying the need, internal consultation, Board vote, approval, evaluation

The rescrit procedure allows an investor to obtain a binding opinion on the interpretation of the regulation before a transaction.

True
False

The English version of the AMF General Regulation has binding legal force.

True
False

Legal value of the English version of the AMF General Regulation

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Categorize items by dragging them to the appropriate zones

Items to categorize:

Instruction DOC-2011-19 on UCITS authorisation
Position-recommendation on governance best practices
Q&A on periodic reporting obligations
Categories:

AMF Instructions

AMF Position-recommendations

AMF Q&As