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ARTICLE · 10 JULY 2019

Regulatory Watch – Asset Management Q1 2019

Duff and Phelps
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The publication also includes general regulatory updates from the United Kingdom, United States and European Union.

GlobalWealth Management
Hannah Rossiter
Hannah Rossiter
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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

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