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Regulation watch

AMF’s Sanctions on professional obligations

October 2020

We review the sanctions issued by the AMF from 2016 to 2020 in order to study the nature and types of sanctions according to eight themes, with a specific focus on those related to breaches of professional obligations.

After a reminder of the legal framework and a review of the sanctions issued for such grievances, the study characterizes the trends and findings for this specific theme.

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