美国证监会与法国金融市场管理局签署监管合作备忘录：覆盖跨境投资顾问与投资服务机构
美国证券交易委员会（Securities and Exchange Commission, SEC）与法国金融市场管理局（Autorité des Marchés Financiers, AMF）10月20日在华盛顿宣布，双方已签署一份监管合作谅解备忘录（Memorandum of Understanding, MOU），以便利两家机构在监管部分投资顾问、投资公司与投资服务机构方面的协商与信息共享。
据SEC介绍，该备忘录为两家机构之间建立了协商、合作与信息交换的框架，覆盖同时在美国与法国运营、受SEC或AMF监管的投资服务机构、投资顾问与投资公司。SEC表示，该协议尤其便利其对受AMF监管、希望以投资顾问身份在美国开展业务的资产管理公司的注册与监管工作，SEC将依据这一安排处理这类公司新提交及待审的注册申请。
SEC主席 Paul S. Atkins 表示，该协议体现了证券监管领域的合作，旨在扩大机遇并在全球范围内保护投资者，他并感谢法方官员的跨境协作。AMF主席 Marie-Anne Barbat-Layani 表示，该协议是两家机构加强合作的又一步，体现了双方共同的承诺：在发展资本市场的同时，维护金融体系的完整性与韧性，并确保投资者保护。
SEC and France's AMF Sign Supervisory MOU on Investment Advisers and Investment Service Providers
The U.S. Securities and Exchange Commission (SEC) and France's Autorité des Marchés Financiers (AMF) announced in Washington on October 20 that they have entered into a Memorandum of Understanding (MOU) designed to facilitate consultation and information-sharing in the supervision of certain investment advisers and investment companies regulated by the SEC and investment service providers supervised by the AMF.
According to the SEC, the MOU establishes a comprehensive framework for consultation, cooperation, and the exchange of information between the two regulators in connection with investment service providers, investment advisers, and investment companies that operate in both the United States and France and are overseen by either the SEC or the AMF. The SEC said the agreement in particular facilitates its registration and supervision of AMF-supervised asset management companies that want to do business in the United States as investment advisers, and that it will process new and pending registration applications from those companies in light of the arrangement.
SEC Chairman Paul S. Atkins said the agreement reflects cooperation in securities regulation intended to expand opportunity and protect investors worldwide, and he thanked French officials for their cross-border collaboration. AMF Chair Marie-Anne Barbat-Layani said the agreement marks a further step in strengthening cooperation between the two authorities, reflecting a shared commitment to developing capital markets while safeguarding the integrity and resilience of the financial system and ensuring investor protection.
发布：GSM·美国（发布链接）
图片来源：位于巴黎交易所广场的布隆尼亚尔宫（Palais Brongniart），法国金融市场管理局（AMF）总部设于该广场。照片：Guilhem Vellut 摄，CC BY 2.0，经维基共享资源／The Palais Brongniart at Place de la Bourse in Paris, where France's Autorité des Marchés Financiers (AMF) is headquartered. Photo: Guilhem Vellut, CC BY 2.0, via Wikimedia Commons
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