Events listed in information
FINRA Publishes 2023 Report on Exam and Risk Monitoring Program
ID 21395
The Financial Industry Regulatory Authority, FINRA, has issued a press release to announce the publication of the 2023 Report on FINRA’s Examination and Risk Monitoring Program. The report is meant to provide guidance to member firms regarding important regulatory issues and compliance with such. The issues covered in the report thereby include the following, among others: (1) (compliance with) regulation best interest; (2) best ...
Open hearing on consultation on ESG terms in funds’ names
ID 21394
Following the launch of a consultation on proposed guidelines for the use of ESG-related terms in investment funds‘ names (please see EventID 18186 for a detailed description of the proposed provisions and restrictions), the European Securities and Markets Authority, ESMA, has now published a press statement in this context. Specifically, ESMA informs that on January 23, 2023, from 11:00 a.m. to 1 p.m., it ...
New consolidated version: Council Regulation (EU) 2017/1509 of 30 August 2017 ...
ID 21392
A new consolidated version of Council Regulation (EU) 2017/1509 relating to sanction measures directed against the Democratic People’s Republic of Korea primarily for its engagement in the production of weapons of mass destruction was published in the Official Journal (OJ) of the EU. The Regulation contains amendments to its Annexes XV and XVI setting out lists of persons, entities, and firms to whom such ...
New consolidated version: Regulation (EU) 2021/378 of the European Central Bank of ...
ID 21391
A new consolidated version of Regulation (EU) 2021/378 of the European Central Bank (ECB) defining minimum reserve requirements of depository institutions and related obligations was published in the Official Journal (OJ) of the EU. The consolidated version includes the amendments made by Regulation (EU) 2022/2419 of the ECB which amended the computation methodology to derive the „remuneration“ or „compensation“ on such minimum reserve deposits ...
NIE WSZYSTKO ZŁOTO, CO SIĘ ŚWIECI – INWESTUJ ŚWIADOMIE!
ID 21390
The Polish Financial Supervision Authority, KNF, has published a press statement to announce the launch of a „nationwide information campaign under the slogan „NOT ALL GOLD THAT IS GOLD – INVEST consciously!“. With this campaign, the regulator aims to increase investors‘ comprehension of financial markets and financial market functioning and to alert investors as to the potential risks involved when making investments. Specifically, the ...
Benutzerhandbuch MVP Portal – SOAP Web-Service
ID 21389
Die BaFin hat das Benutzerhandbuch „Melde- und Veröffentlichungsplattform Portal (MVP Portal) SOAP Webservice“ aktualisiert. Es erläutert die Verwendung der Simple Object Access Protocol (SOAP) -Schnittstelle und der Webservice-Endpunkte. Zusätzlich zu den redaktionellen Änderungen sollten die aktualisierten Werte der Tabelle „Liste der Webservice-Endpunkte“ in den Spalten „MTOM-Dateianhang“ und „Neue Metadaten-Struktur“ sowie d ...
APRA phases out aggregate Committed Liquidity Facility
ID 21388
On 9 January 2023, Australian Prudential Regulation Authority (APRA) published a letter, informing that the Committed Liquidity Facility (CLF) was fully phased-out. Indeed, since January 2015, those incorporated authorised deposit-taking institutions (ADIs) to which APRA applies the Basel III liquidity standards, have been required to hold high-quality liquid assets (HQLA) sufficient to withstand a 30-day period of stress under the liquidity coverage ratio (LCR) ...
Kryptowertpapierliste nach eWpG
ID 21386
Die BaFin hat auf ihrer Website gemäß § 20 Absatz 3 des Gesetzes über elektronische Wertpapiere (eWpG) eine aktualisierte öffentliche Kryptowertpapierliste publiziert. „Darin bündelt sie Informationen zu Kryptowertpapieren, die ihr nach § 20 Absatz 1 Satz 2 eWpG mitgeteilt werden. Die Angaben in der Liste beruhen auf den von den Emittenten vorgenommenen Veröffentlichungen im Bundesanzeiger. Die Kryptowertpapierliste soll eine unkomplizierte Übersicht über die mit ...
Letter to overseas entities who own or lease property or land in the UK
ID 21384
On January 9, 2023, the Companies House, a government agency responsible for the maintenance of business registers, published an open letter addressed at „overseas entities who own or lease property or land in the UK“ or have owned or leased such property or land in the past. The letter is targeted at entities that are included in the property and land register of the ...
Priorités d’action et de supervision 2023 de l’Autorité des marchés ...
ID 21382
On 9 January 2023, the Autorité de Marchers Financiers (AMF) published its action and supervisory priorities for 2023: — The Action Priorities of the AMF for 2023 (at the time of writing only available in French) follow the five-year #Supervision2022 strategic plan. In a context of heightened uncertainty, faced with new challenges and after a period of unprecedented health crisis that had marked the ...