Arrêté du 17 avril 2023 portant homologation de modifications du règlement général de l’Autorité des marchés financiers

The Order of 17 April 2023 approves amendments to Book III of the General Regulations of the AMF in Section 9 of Chapter IV of Title I of Book III, and Section 6 of Chapter IV of Title I bis of Book III, respectively, as detailed in the Annex to this present order.
I. Article 314-32 in Section 9 is added to Chapter IV of Title I of Book III. Article 314-32 stipulates that within six months after the end of the financial year, investment service providers must provide an annual report to the AMF containing the information specified in Section III of the same article. Pursuant to Article L. 621-8-4 of the Monetary and Financial Code, the providers must also provide the AMF with the information stipulated in an AMF instruction that enables the work prescribed by Article 4 of Decree No. 2021-663 of 27 May 2021. This information must be transmitted to the AMF within one month of the publication of the annual report.
II. Article 319-28 in Section 6 is added to Chapter IV of Title I bis of Book III. Article 319-28 specifies that portfolio management companies must provide the AMF with an annual report containing the information mentioned in Section III of the same article within six months after the end of the financial year. In accordance with Article L. 621-8-4 of the Monetary and Financial Code, these companies must also provide the AMF with the information specified in an AMF instruction that enables the work prescribed by Article 4 of Decree No. 2021-663 of 27 May 2021, within one month of the publication of the annual report. They must also provide the information stipulated in Article 4 of Delegated Regulation (EU) 2022/1288 of the Commission dated 6 April 2022, no later than the same date as provided for in that article.
III. Article 321-135-1 in Section 6 is added to Chapter IV of Title I ter of Book III. Article 321-135-1 requires portfolio management companies to provide the AMF with an annual report containing the information mentioned in Section III of the same article within six months after the end of the financial year. In accordance with Article L. 621-8-4 of the Monetary and Financial Code, these companies must also provide the AMF with the information specified in an AMF instruction that enables the work prescribed by Article 4 of Decree No. 2021-663 of 27 May 2021. They must also provide the information stipulated in Article 4 of Delegated Regulation (EU) 2022/1288 of the Commission dated 6 April 2022, no later than the same date as provided for in that article.
IV. A new paragraph is added to section II of Article 322-12. This requires the account holder to provide information on companies whose headquarters are in an EU member state and whose shares are listed on a regulated market in the EU. The holder must also transmit this information to each account holder within the time frame specified by Article R. 228-32-1 of the Commerce Code.
V. Article 322-14 is modified to require the account holder to transmit requests for documents related to the general assembly of shareholders to the issuer.
VI. The word “reception“ is replaced with „sending“ in the third paragraph of Articles 318-10, 321-40, 322-71-1, and 325-23.
VII. Article 441-2 is amended to add a new paragraph III. It requires the intermediary mentioned in section I to establish and maintain an efficient and transparent procedure for addressing claims made by existing or potential clients. The procedure must be proportional to the size and structure of the intermediary. The intermediary must respond to client claims within two months of receiving the claim, unless there are exceptional circumstances. The intermediary must also record each claim and the measures taken to address it, and implement corrective actions if necessary. The procedure for addressing claims must be made available to clients free of charge.
VIII. The fourth paragraph of Article 721-11 is amended to specify that the two-month period for addressing claims begins on the date the claim is sent.
IX. The last sentence of the penultimate paragraph of Article 560-2 is modified to replace the semicolon with a period. The last paragraph of the article is removed entirely**.