Events listed in form
Form 30 – Notice of Commencement Lodged Pursuant to Paragraph 3(4)(c) and/or ...
ID 22451
The Monetary Authority of Singapore (MAS) has issued several revised forms applicable to exempt futures brokers and exempt over-the-counter (OTC) derivatives brokers, including forms for the notification of the commencement of business, the termination of business, and the change in particulars, for the declaration of compliance with all applicable laws and regulations, and for the filing of the auditor’s opinion on the audited accounts ...
Form 22 – Notice of Commencement of Business by Person Exempted from Holding ...
ID 22447
The Monetary Authority of Singapore (MAS) has issued several revised forms applicable to exempt Corporate Finance advisers serving accredited investors, including forms for the notification of the commencement of business, the termination of business, and the change in particulars, and for the annual declaration of compliance with all applicable laws and regulations. The affected forms are linked below: [Form 22 – Notice of Commencement ...
Form 20 – Notice of Commencement of Business by Persons Exempt from Holding a ...
ID 22444
The Monetary Authority of Singapore (MAS) has issued several revised forms applicable to exempt financial advisers, including forms for the notification of the commencement of business, the termination of business, and the change in particulars, and for the declaration of compliance with all applicable laws and regulations at year end. The affected forms are linked below: [Form 20 – Notice of Commencement of Business ...
CPMI IOSCO Quantitative Disclosure Template – SIX x-clear AG (Q4/2022), ...
ID 22304
The Swiss Exchange (SIX Group/SIX x-clear AG) has published the „CPMI IOSCO Quantitative Disclosure Template“ for Q4/2022. The template includes close to two hundred fields of quantitative data related to the parameters like credit risk, collateral, margin, liquidity risk and aims to further increase the transparency of financial markets. Please click here in order to view more information on CPMI-IOSCO and here to visit ...
Anlage 7 zur InhKontrollV – Formular „Aufgabe–Verringerung“
ID 22082
In einer Publikation zum Thema „Inhaberkontrolle“ veröffentlicht die BaFin eine aktualisierte Anlage 7 zur InhKontrollV – Formular „Aufgabe – Verringerung“. Die Anlage 7 bezieht sich auf § 17 Absatz 1 der Inhaberkontrollverordnung (InhKontrollV) und enthält ein Formular für Angaben zu Aufgabe/Verringerung einer bedeutenden Beteiligung. Das Formular erfasst verschiedene Arten von Vorgängen, wie die Absicht zur Aufgabe oder Verringerung einer bedeu ...
Anlage 3 zur InhKontrollV – Formular „Angaben zur Zuverlässigkeit“
ID 22080
In einer Publikation zum Thema „Inhaberkontrolle“ veröffentlicht die BaFin eine aktualisierte Anlage 3 zur InhKontrollV – Formular „Angaben zur Zuverlässigkeit“. Die Anlage 3 bezieht sich auf § 9 Absatz 1 Satz 1 der Inhaberkontrollverordnung (InhKontrollV) und enthält ein Formular zur Selbstauskunft über die Zuverlässigkeit. Es werden Angaben zur Identität des Anzeigepflichtigen, zu Unternehmen, bei denen der Anzeigepflichtige geleitet oder kontr ...
Anlage 4 zur InhKontrollV – Formular „Angaben zu vorgesehenen ...
ID 22076
In einer Publikation zum Thema „Inhaberkontrolle“ veröffentlicht die BaFin eine aktualisierte Anlage 4 zur InhKontrollV – Formular „Angaben zu vorgesehenen Geschäftsleitern“. Die Anlage 4 bezieht sich auf § 9 Absatz 4 Satz 1 der Inhaberkontrollverordnung (InhKontrollV) und enthält ein Formular für Angaben zu vorgesehenen Geschäftsleitern, welches für Personen relevant ist, die als Geschäftsleiter eines Zielunternehmens vorgesehen sind. Das Formul ...
Publication of a new notification template for critical or important ICT outsourcing
ID 21933
On 17 February 2023, the Commission de Surveillance du Secteur Financier (CSSF) issued a press release, informing about the publication of a new notification template to be used as of 20 February 2023 by In-Scope Entities in order to notify the CSSF of critical or important information and communications technology (ICT) outsourcing arrangements, in accordance with points 59 and 60 of Circular CSSF 22/806 ...
Investment Fund Managers (“IFM”) – type(s) of requested ...
ID 21630
On 30 January 2023, the Commission de Surveillance du Secteur Financier (CSSF) published an updated form entitled „INVESTMENT FUND MANAGERS (“IFM”) – TYPE(S) OF REQUESTED AUTHORISATION(S)/REGISTRATION(S)“ in DOCX-format. The form is intended to be used by Investment Fund Managers (IFMs), under the prudential supervision by an official supervisory authority in Luxembourg, for the process of selecting the requested authorisation or registration concerning investment ...
Information Checklist for Termination of a Private OFC or Privately Offered ...
ID 21618
The Securities and Futures Commission of Hong Kong, SFC, has published a revised version of its Checklist for Termination of a Private OFC or Privately Offered Sub-fund under Chapter 10 of the Code on Open-ended Fund Companies. The checklist must be submitted to the SFC when filing an application for the termination of a private open-ended fund company or a privately offered sub-fund of ...