Events listed in form
US Department of Labor releases informational copies of 2023 Form 5500 Series ...
ID 25862
The U.S. Department of Labor’s Employee Benefits Security Administration (EBSA), the Internal Revenue Service (IRS), and the Pension Benefit Guaranty Corporation (PBGC) have published informational copies of the 2023 – Form 5500 Annual Return/Report, – Form 5500-SF Annual Return/Report for small pension plans, – Form 5500-EZ Annual Return of a one-participant retirement plan or a foreign pension plan, – *Form 5558 for an application ...
Whistleblowing
ID 25791
On 14 November, the CSSF published a set of trilingual Whistleblowing forms for the reporting of breaches of financial sector regulations to the CSSF. The CSSF asks do not use this form for customer complaints against entities subject to the supervision of the CSSF or for general requests for information to the CSSF. In the meantime, the CSSF also updated its Whistleblower Protection Guidelines ...
PSD Add Agent Form [docx]
ID 25788
The Financial Conduct Authority (FCA) has published a new form which is to be used by payment institutions seeking to notify the FCA of a new UK agent authorized by the institution to provide certain payment services on its behalf. The form requests information on the agent itself, including information as to its fitness to perform activities on the institution’s behalf, the payment institution ...
Financial Promotion Annex for Dual Regulated Firms [docx]
ID 25676
In view of the coming into force of the new financial promotion rules under policy statement (PS23/6), the Financial Conduct Authority has issued another new application form for firms that wish to engage in the approval of financial promotions of unauthorized firms. This particular form must be filed by all firms that are dually regulated by the FCA and the Prudential Regulation Authority and ...
Financial Promotion Annex for firms with existing New Authorisation in progress ...
ID 25674
In view of the coming into force of the new financial promotion rules under policy statement (PS23/6), the Financial Conduct Authority has issued a new application form for firms that wish to engage in the approval of financial promotions of unauthorized firms. This particular form must be filed by all firms who wish to add financial promotions to an existing new authorization application (firms ...
Financial Promotions Variation of Permission Notes [docx] Financial Promotions ...
ID 25673
In view of the coming into force of the new financial promotion rules under policy statement (PS23/6), the Financial Conduct Authority has issued various new forms and instructions, including the following: – Variation of Permission (VoP) application – notes (instructions) – Financial Promotions Variation of Permission form – Financial Promotions Spreadsheet Twelve Months [xlsx] The Financial Promotions Variation of Permission form must be filed ...
Certified shareholder report of registered management investment companies (PDF)
ID 25657
The U.S. Securities and Exchange Commission (SEC) has published Form N-CSR – Certified Shareholder Report of Registered Management Investment Companies which will be valid through September 30, 2026 unless otherwise modified before, following the approval of the Office of Management and Budget (OMB). Form N-CSR is a regulatory filing required of the SEC on a semi-annual and annual basis for registered management investment companies ...
IFM – Tied agent notification forms
ID 25401
A tied agent in Luxembourg is an entity or natural person that acts on behalf of an investment firm or AIFM within the meaning of Article 1(1) of the Luxembourg law of 5 April 1993 on the financial sector. Tied agents are allowed to be used by AIFMs according to the Law of 21 July 2023 that modernized its fund toolbox. In this context, ...
Verzeichnis der mindestreservepflichtigen Institute
ID 25400
Die SNB veröffentlicht das aktuelle Erhebungsformular (Meldewesen) für folgendes Fachgebiet: + Erhebungsgegenstand: Erhebung der mindestreservepflichtigen Bilanzpositionen sowie der anrechenbaren liquiden Aktiven gemäß Kapitel 3 (Mindestreserven) der Verordnung zum Bundesgesetz über die Schweizerische Nationalbank + Art: Vollerhebung + Auskunftspflicht: Alle Banken + Erhebungsstufe: Unternehmung + Periodizität: Monatlich (Unterlegungsperiode: 20. des laufenden bis zum 19. des ...
[MiCA ] MiCA white papers PoC
ID 25227
ESMA has released a PoC to demonstrate the proposed format requirements for crypto-asset white papers under MiCA. This PoC is designed to help market participants understand the application of Inline XBRL, a specific format for presenting crypto-asset white papers, as required by one ITS as part of the second consultation package regarding MiCA (eventid=23294). The PoC includes three main components: a **[draft taxonomy covering ...