Financial misconduct (infringement of regulations, administrative and disciplinary sanctions, civil sanctions)

Written by Eric Dezeuze, Florian Bouaziz, Gaël Rivière and Nicolas Rontchevsky

Published in the Corporate Finance and Capital Markets Law Review Revue Trimestrielle de Droit Financier.

The French Financial Markets Authority, the AMF, has sanctioned, in the context of a post-Brexit reorganisation, an investment services provider—the French subsidiary of a UK company—for numerous breaches of professional obligations, and in particular for failures in its system for preventing and detecting market abuse. Read more