Events listed in form
Aufsichtsreporting
ID 23321
Die SNB veröffentlicht das aktuelle Erhebungsformular (Meldewesen) für folgendes Fachgebiet: + Erhebungsgegenstand: Daten entsprechend dem FINMA-RS 08/14 «Aufsichtsreporting – Banken» + Art: Vollerhebung: AUR_U, AURH_U Teilerhebung: AUR_UEA, AUR_UES, AUR_K, AURH_K, AUR_KEA + Auskunftspflicht: AUR_U, AURH_U: Alle Banken und Wertpapierhäuser gemäss FINMA-RS 08/14, Rz 4. AUR_K, AURH_K: Finanzgruppen gemäss FINMA-RS 08/14, Rz 5 und 6. AUR_UES: Alle Banken und kontoführende ...
Verzeichnis der mindestreservepflichtigen Institute
ID 23285
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 ...
Form 5 – Auditor’s Report – For a Holder of a Capital Markets Services ...
ID 23148
The Monetary Authority of Singapore, MAS, has published two newly updated forms to be submitted by capital market service (CMS) license holders: Form 5 – Auditor’s Report – For a Holder of a Capital Markets Services Licence Form 6 – Auditor’s Certification – For a Holder of a Capital Markets Services Licence The first Form 5 must be used by CMS holders to submit ...
European MiFID Template (EMT) V4.1 Editorial Update
ID 23093
Following the publication of the European MiFID Template (EMT V4.1) (please see EventID #20511), the Financial Data Exchange (FinDatEx) platform has published an update containing an editorial amendment within field 09060 „Outcome of PRIN Value Assessment Or Review UK“. Specifically, a formal error in the comments column is corrected by deleting the word „both“.
Innovation Pathways application form [pdf]
ID 22789
On April 14, 2023, the Financial Conduct Authority (FCA) published a draft application form to participate in the FCA’s innovation pathway program which supports firms in their efforts to navigate the UK regulatory jungle when seeking to provide products and services that – do not „neatly fit“ into existing products or services categories or – are completely new in the UK market. The draft ...
Verzeichnis der mindestreservepflichtigen Institute
ID 22784
Die Schweizerische Nationalbank (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. ...
Securitisation Repository – Withdrawal of Registration form [docx] Trade ...
ID 22754
The Financial Conduct Authority, FCA, has published two new forms which shall be used by securitization or trade repositories to apply for deregistration with the Authority. The forms are linked below or may be found in the attachments to this Event: 1. Securitisation Repository: Application to withdraw registration 2. Trade Repository: Application to withdraw registration Affected firms are highly recommended to closely follow ...
FinDatEx publishes EMT V4.1
ID 22724
Following a public consultation on changes to the European MiFID Template (please see EventID20166), the Financial Data Exchange (FinDatEx) platform has made available the final update to the European MiFID Template (EMT V4.1). The new EMT Version V4.1 includes necessary changes in light of the **upcoming entry into force of the „UK consumer duty regime“, that starts to apply from 31 July 2023 for ...
CONRED 4 Annex 16 Final reminder to accept offer
ID 22600
Following the finalization of the new redress scheme in connection with the provision of (inadequate) advice to transfer out of the „British Steel Pension Scheme (BSPS)“ between 2016 and 2018 (please see EventID 18571 and / or PS22/14 in this context), the Financial Conduct Authority (FCA) has updated one Handbook provision as regards the „Final reminder to accept an offer“. Specifically, the Authority has ...
Principal adverse impact and product templates for the Sustainable Finance ...
ID 22452
The European Supervisory Authorities (ESAs) have made available an update of the annexes to Commission Delegated Regulation (EU) 2022/1288 and (EU) 2023/363, which supplements the Sustainable Finance Disclosure Regulation (SFDR). This is to provide financial market participants with an editable version of the templates contained in the Delegated Regulations, which are applicable since 1 January 2023 for the financial product disclosures referred to in ...