All events in your topic (5098)
New consolidated versions: Commission Delegated Regulation (EU) 2017/1018 of 29 ...
ID 21365
New consolidated versions of „Commission Delegated Regulation (EU) 2017/1018“ as regards the notification requirements of investment firms, market operators, and credit institutions that are passporting into other EU jurisdictions for the provision of investment services or ancillary services were published in the Official Journal (OJ) of the EU. The consolidated versions include the modifications made by Commission Delegated Regulation (EU) 2022/2402 which correc ...
Form 24A – Notice of Cessation of Business as a Registered Fund Management ...
ID 21364
The Monetary Authority of Singapore, MAS, has published a revised version of its Form 24A to be filed by registered fund management companies to notify MAS of the cessation of business. The form must be submitted electronically via MASNET, the online platform of MAS, and must be accompanied by the corresponding auditor certification and company declaration. It is essential, so the regulator, to also ...
Form 23A – Notice of Change of Particulars for a Registered Fund Management ...
ID 21363
The Monetary Authority of Singapore, MAS, has issued a revised form for registered Fund Management Companies or Venture Capital Fund Managers which must be used to inform MAS of changes of their particulars (i.e. changes in contact details; changes in information on the company such as appointments). The form must be submitted within 14 days of the incurred changes and must be lodged via ...
Lodgement Practice Note for Collective Investment Schemes
ID 21362
The Monetary Authority of Singapore (MAS) has published a new version of the so-called „Lodgement Practice Note for Collective Investment Schemes“. The note outlines lodging practices that shall be followed by collective investment schemes (CIS) offered or to be offered in Singapore including those constituted outside Singapore in connection with the following: (1) the application or the recognition of the CIS including relevant forms ...
PRA Regulatory Digest – December 2022
ID 21361
The Prudential Regulation Authority (PRA) has published the latest version (December 2022) of its monthly regulatory digest. The digest outlines the Authority’s ongoing regulatory activities ranging from the launch of consultations, to the issuance of policy statements, to the implementation of regulatory changes and provides links to corresponding (legal) documents. The regulatory digest presents a viable source of information to stay up-to-date on regulatory ...
[ESMA35-43-3327] Compliance table on Guidelines on certain aspects of the MiFID II ...
ID 21359
On 3 January 2023, the European Securities and Markets Authority (ESMA) has published a revised version of the compliance table for its Guidelines on certain aspects of the MiFID II appropriateness and execution-only requirements (ESMA35-43-3006). Comparing the current compliance table (ESMA35-43-3327) with the previous one reveals that Malta now complies with the ESMA guidelines. CURRENT VERSION PREVIOUS VERSION: The *Malta Financial Services ...
Inside FCA podcasts
ID 21358
The Financial Conduct Authority (FCA) has published the transcript of a podcast relating to the new consumer duty. Specifically, the transcript includes an interview with the FCA’s Head of Competition, Mr. Ed Smith, as regards the price and value outcome of the new duty. Therein, the Head describes „how the FCA expects firms to assess their products and services, to ensure there is a ...
Regulatory Notice 23-01
ID 21357
After sending e-bills to supervised firms, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 23-01 in connection with its annual Renewal Program to remind broker-dealers, investment adviser firms, agents and investment adviser representatives, and branches of their obligation to pay their yearly licensing, branch, and – if applicable – processing fees by January 27, 2023 and to support them in their reconciliation of ...
United Nations Sanctions (Central African Republic) Regulation 2020 (Cap. 537CM) ...
ID 21356
A revised version of the United Nations Sanctions (Central African Republic) Regulation 2020 was published on ‚Hong Kong e-Legislation‘, the official platform of the Hong Kong government for legislative publications. The revised version contains the amendments made by the United Nations Sanctions (Central African Republic) Regulation 2020 (Amendment) Regulation 2022 which renewed or better extended already existing sanction provisions with respect to the following ...
[ESMA34-46-101] Register of authorised European long-term investment funds (ELTIFs)
ID 21355
The European Securities and Markets Authority, ESMA, has published the latest data – as of January 3, 2023 – on registered European Long-Term Investment Funds (ELTIFs). Pursuant to Article 3, Paragraph 3, Sub-Paragraph 2 of the ELTIF Regulation, ESMA is required to make this data available to the public in an electronically readable format. Please note that the first tabulator contains the information on ...
Belgique: BNB définit coussin de risque systémique
ID 21353
Décision du 13 décembre 2022 relative à la réciprocité du coussin pour le risque systémique adopté par la Banque nationale de Belgique pour les expositions sur la clientèle de détail (personnes physiques) garanties par un bien immobilier résidentiel situé en Belgique On 3 December 2022, the Decision of 13 December 2022 on the **reciprocity of the systemic risk buffer adopted by the National Bank ...
Crypto: US agencies warn banks on asset risks
ID 21352
The Office of the Comptroller of the Currency (OCC), the Board of Governors of the Federal Reserve System (FED), and the Federal Deposit Insurance Corporation (FDIC) have published a joint statement as regards crypto-assets in the banking sector. Therein, the regulators outline the key risks associated with crypto-assets and corresponding activities and engagements in such assets including the following, among others: – the risk ...