DOC-2019-14 Orientations on Risk Factors

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III - Service Providers
III. 3 - Anti-Money Laundering and Counter-Terrorist Financing
Doctrine
Anti-Money Laundering

Orientations on Risk Factors

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Applicable from March 12, 2024
Position DOC-2019-14

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Summary
The AMF applies the Joint Committee's Common Orientations. These Orientations explain the relevant AML/CFT risk factors that financial sector professionals should take into account to best adapt the scope of due diligence measures taken towards customers. Chapters 8 and 9 of Title III of the Orientations include sector-specific developments relating to individual portfolio management and investment advice services and collective investment management.

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Reference texts

Article L. 561-4-1 of the Monetary and Financial Code

Article L. 561-9 of the Monetary and Financial Code

Article L. 561-10-1 of the Monetary and Financial Code

Article 320-19 of the General Regulation

Article 321-146 of the General Regulation

Article 325-22 of the General Regulation

Article 560-9 of the General Regulation

Orientations pursuant to Articles 17 and 18(4) of Directive (EU) 2015/849 on simplified and enhanced due diligence measures towards customers and on the factors that credit institutions and financial institutions should take into consideration when assessing the risks of money laundering and terrorist financing associated with individual business relationships and occasional transactions, repealing and replacing JC/2017/37 (consolidated version) Archives

The AMF applies the Joint Committee's Common Orientations. These Orientations explain the relevant AML/CFT risk factors that financial sector professionals should take into account to best adapt the scope of due diligence measures taken towards customers. Chapters 8 and 9 of Title III of the Orientations include sector-specific developments relating to individual portfolio management and investment advice services and collective investment management.

Download the doctrine
Reference texts

Article L. 561-4-1 of the Monetary and Financial Code

Article L. 561-9 of the Monetary and Financial Code

Article L. 561-10-1 of the Monetary and Financial Code

Article 320-19 of the General Regulation

Article 321-146 of the General Regulation

The AMF applies the Joint Committee's Common Orientations. These Orientations explain the relevant AML/CFT risk factors that financial sector professionals should take into account to best adapt the scope of due diligence measures taken towards customers. Chapters 8 and 9 of Title III of the Orientations include sector-specific developments relating to individual portfolio management and investment advice services and collective investment management.

Download the doctrine
Reference texts

Article L. 561-4-1 of the Monetary and Financial Code

Article L. 561-9 of the Monetary and Financial Code

Article L. 561-10-1 of the Monetary and Financial Code

Article 320-19 of the General Regulation

Article 321-146 of the General Regulation

Article 550-9 of the General Regulation
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