Events listed in form
Incident Reporting Template
ID 25186
The Monetary Authority of Singapore, MAS, has published a new template for the reporting of incidents, including cyber attacks, IT incidents, or information loss, that are considered material to the safety, soundness, or reputation of a financial market participant. The template applies to a large range of financial players, including banks, insurance companies, fund management companies, financial advisors, and many others and must be ...
Mindestreserven
ID 25145
Die SNB hat die Erläuterungen zum Erhebungsformular zu den Mindestreserven im neuen Release präzisiert: Die Präzisierung bezieht sich darauf, dass die Sicherungsguthaben, die bei der Nationalbank in Sicherungskonten für esisuisse gehalten werden, in die Berechnung der Giroguthaben bei der Nationalbank einbezogen werden. Die Giroguthaben setzen sich aus den Sichtguthaben der Haupt-Girokonten und den Sichtguthaben der Sicherungskonten für esisuisse bei der Nationalbank zusammen ...
Registration form for open-end management investment companies (PDF)
ID 25090
The U.S. Securities and Exchange Commission (SEC) has published new Form N-1A related to the registration of open-end management investment companies (mutual funds). The new form must be used for registration beginning October 2, 2023 and will be valid through July 31, 2026 unless otherwise modified before, following the approval of the Office of Management and Budget (OMB). Form N-1A requires essential information about ...
Verzeichnis der mindestreservepflichtigen Institute
ID 24959
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 ...
Changes to application forms accessed via Connect
ID 24924
Earlier this year, the FCA published a statement to announce upcoming changes to its authorization application forms to streamline the application process and gather necessary information more efficiently. This statement has now been updated to inform of the improvements the FCA has made to Form A which is commonly used for „Senior Management Functions and Controlled Functions“ applications and to inform of the upcoming ...
Modification by consent of COLL 5.6.22R – Direction [docx] Modification by ...
ID 24896
The Financial Conduct Authority (FCA) has published various new forms which may be used by collective investment schemes or insurance undertakings for requesting a waiver from noted FCA rules and obligations. Specifically, – new Form „Modification by consent of COLL 5.6.22R – Direction“ enables „managers and depositaries of authorised funds that invest in immovable property to provide guarantees and indemnities to third parties where ...
Formularze elektroniczne do zgłoszenie znacznych pozycji krótkich netto z tytułu ...
ID 24695
KNF has published a new form to submit with regards to significant short net assets, using the layout from Regulation (EU) No 826/2012. The threshold causing disclosure requirement is 0.1% of the company’s issued capital and every 0.1% above or below this value. In case there are errors on the website prohibiting the submission of the forms online, please submit them via short.notyfikacja@knf.gov.pl. However, ...
Form 11 – Appointment of Chief Executive Officer or Director / Change of ...
ID 24676
The Monetary Authority of Singapore has issued a revised form (Form 11) for licensed fund management companies (LFMCs) which must be used to apply with MAS for „the appointment of a Chief Executive Officer or director“ or for the change of a director’s role. LFMCs are expected to submit the form through CeL eServices, MAS‘ platform for Corporate e-Lodgment, unless they have been advised ...
Form 23A – Notice of Change of Particulars for a Registered Fund Management ...
ID 24669
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 ...
Form 3A – Notification for Appointment of an Appointed Representative
ID 24668
The Monetary Authority of Singapore (MAS) has issued a revised form (Form 3A) for companies, institutions, and individuals needing to provide notification and have approval of the appointment of a representative. The form must be submitted via corporate e-filing on MASNET, the official platform of MAS for electronic filings. Representatives may NOT perform any services prior to be registered with MAS as an „appointed ...