All events in your topic (5098)
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; ...
ID 26558
The U.S. Securities and Exchange Commission, SEC, has published a statement in the Federal Register to inform that it will take more time „to determine whether to approve or disapprove“ a proposed rule change by the Financial Industry Regulatory Authority, FINRA, as regards the dissemination of „On-the-Run Nominal Coupon“ securities transaction data and the adoption of a corresponding pricing policy. Specifically, FINRA has filed ...
DECRETO LEGISLATIVO 6 dicembre 2023, n. 204 che stabilisce un quadro generale per ...
ID 26557
The Official Gazette published Legislative decree of 6 December 2023, n. 204 adapting the provisions of Regulation (EU) 2021/557, which establishes a general framework for securitization and a specific one for simple, transparent and standardized securitizations to support the recovery from the covid-19 crisis. Formal amendments have been made to article 4-septies.2 of the TUF, addressing the competent national authorities and their duties. The ...
Commission Regulation (EU) 2023/1803 adopting certain international accounting ...
ID 26556
A new consolidated version of Commission Regulation (EU) 2023/1803 as regards the adoption and application of international accounting standards in the EU was published in the Official Journal (OJ) of the EU. The Regulation includes the most recent amendments made by Commission Regulation (EU) 2023/2468 which implemented provisions to provide for „a temporary exception from accounting for deferred taxes (IAS 12) arising from the ...
Checklist for Application for Authorisation of Real Estate Investment Trusts
ID 26555
The Securities and Futures Commission of Hong Kong (SFC) has issued a revised version of its Checklist for Application for Authorisation of Real Estate Investment Trusts. The checklist – which shall be used beginning on the application date outlined above – MUST be submitted to the SFC along with the prescribed documents. The checklist contains or requires information on: (1) the REIT (i.e. name ...
Information Checklist for Application for Authorization of Dutch Funds under the ...
ID 26554
The Securities and Futures Commission of Hong Kong (SFC) has issued a revised version of its Information Checklist for Application for Authorization of Dutch Funds under the Mutual Recognition of Funds Arrangement and the Revamped Process. The checklist which shall be used beginning on the application date outlined above MUST be submitted to the SFC along with the prescribed documents. The checklist contains or ...
On-Going Compliance Form for Filing of Pricing Errors
ID 26553
The Securities and Futures Commission of Hong Kong, SFC, has issued a revised form for the reporting of erroneous NAVs to the Commission. The form requires information on – the investment fund affected by the error (fund name, custodian, fund management company, etc.); – type of error occurred and the respective error date; – the duration of the error and the impact upon investors; ...
L’ESMA publie son rapport final portant sur les modifications de la méthodologie ...
ID 26552
The AFG published it’s response to ESMA’s publication on 19 December 2023 of its Final Report on Guidelines on stress test scenarios under the MMF Regulation, following a prior ESMA consultation running until 28 April 2023. The proposed modifications aim to enhance the consideration of interactions between liquidity and redemption pressures, particularly in light of the stress events witnessed in March 2020. These modifications ...
Publication of the finalized amendments to the „Cabinet Office Order on ...
ID 26551
The FSA disclosed proposed amendments to the „Cabinet Office Ordinance on Disclosure of Corporate Information, etc.“ and invited public comments between 30 June 2023, and 10 August 2023. They received a total of 140 comments from 18 individuals and organizations, expressing gratitude for the cooperation. The main revisions entail agreements regarding governance between companies and shareholders, agreements on the disposal and purchase of additional ...
A864 : Loi du 22 décembre 2023 relative à l’imposition minimale effective pour les ...
ID 26550
The Law of 22 December 2023 on effective minimum taxation for the transposition of Council Directive (EU) 2022/2523 of 15 December 2022 aiming to ensure a global minimum level of taxation for multinational entity (MNE) groups and large national corporate groups in the Union applies to constituent entities located in Luxembourg that are members of MNE groups or a large-scale national group with an ...
Consolidated FAQs on the implementation of Council Regulation No 833/2014 and ...
ID 26549
The EC has published an updated consolidated version of its FAQs on the implementation of Council Regulation No 833/2014 and Council Regulation No 269/2014 in light of the ongoing conflict in Ukraine. The consolidated version includes FAQs concerning EU sanctions adopted following Russia’s military aggression against Ukraine. Below we present the affected updated (new) questions which might have relevance to the financial market in ...
Joint circular on intermediaries’ virtual asset-related activities
ID 26548
The Hong Kong Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) have issued a new joint circular addressed at financial market intermediaries engaged in virtual asset-related activities. The circular thereby provides guidance and updates on the regulatory approach for distributing virtual asset-related products (VA-related products) and providing virtual asset dealing services to investors. The circular supersedes a previous one recently ...
Application Form for Scheme Change(s)
ID 26547
The Securities and Futures Commission of Hong Kong (SFC) has issued a *[revised „Application Form for Scheme Change(s)“ in respect of mutual funds and unit trusts](https://www.sfc.hk/-/media/files/PCIP/Checklist-and-Forms/UT/UT_3_pdf_20231222_111-SC-Form.pdf?rev=fccd1124d54e45bfbe97976afd626a72&hash=53AE096F875051444061DC4789AA93C4)** subject to the requirements set out in the Code on Unit Trusts and Mutual Funds. The new form shall be used beginning on t ...