Events listed in information
Regulatory Notice 23-01
ID 21357
After sending e-bills to supervised firms, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 23-01 in connection with its annual Renewal Program to remind broker-dealers, investment adviser firms, agents and investment adviser representatives, and branches of their obligation to pay their yearly licensing, branch, and – if applicable – processing fees by January 27, 2023 and to support them in their reconciliation of ...
[ESMA34-46-101] Register of authorised European long-term investment funds (ELTIFs)
ID 21355
The European Securities and Markets Authority, ESMA, has published the latest data – as of January 3, 2023 – on registered European Long-Term Investment Funds (ELTIFs). Pursuant to Article 3, Paragraph 3, Sub-Paragraph 2 of the ELTIF Regulation, ESMA is required to make this data available to the public in an electronically readable format. Please note that the first tabulator contains the information on ...
Enforcement of the 2022 annual reports published by issuers subject to the ...
ID 21349
On 2 January 2023, the Commission de Surveillance du Secteur Financier (CSSF) published a communication, informing about the enforcement of the 2022 annual reports published by issuers subject to the Transparency Law, and highlights topics and issues that will be the subject of a specific monitoring in 2023. In accordance with to the *Law of 11 January 2008 on Transparency requirements for issuers (Transparency ...
Regulatory Sandbox der FMA legt positive Bilanz vor: acht FinTechs bereits auf dem ...
ID 21346
Die österreichische Finanzmarktaufsicht (FMA) veröffentlicht ein Update zu Ihrer Sandbox-Initiative: + Fünf österreichische Crowdfunding-Plattformanbieter in die Regulatory Sandbox aufgenommen + Acht FinTechs nutzen diesen Service der FMA + Der erste Sandbox-Teilnehmer wurde Anfang 2022 als Wertpapierfirma eingetragen + Je ein Registrierungs- bzw. Konzessionsantrag von einem Dienstleister in Bezug auf virtuelle Währungen und einem Crowdfunding-Dienstleister + In der Sandbox w ...
Authorisation as an administrator of STIBOR – FI assesses that the application is ...
ID 21344
The Swedish Financial Supervisory Authority, Finansinspektionen (FI), has published a press statement to announce that the application of the Swedish Financial Benchmark Facility AB (SFBF) to become a benchmark administrator is now complete and will be assessed shortly. Specifically, SFBF had applied to become an administrator of STIBOR, the Stockholm Interbank Offered Rate, under the European Union Benchmarks Regulation (BMR) on December 27, 2021, ...
Kalender der Handelstage 2023
ID 21342
Die BaFin veröffentlicht den Handelstagekalender für die Berechnung der Mitteilungs- und Veröffentlichungsfristen gemäß § 47 Wertpapierhandelsgesetz (WpHG). „Für die Berechnung der Mitteilungs- und Veröffentlichungsfristen der §§ 33 ff. WpHG gelten als Handelstage alle Kalendertage, die nicht Sonnabende, Sonntage oder zumindest in einem (Bundes-)Land landeseinheitliche gesetzlich anerkannte Feiertage sind.“
Commission Regulation (EC) No 1126/2008 adopting certain international accounting ...
ID 21341
A new consolidated version of Commission Regulation (EC) No 1126/2008 as regards the adoption and application of international accounting standards in the EU was published in the Official Journal (OJ) of the EU. This latest version includes ALL the amendments made to the Regulation during the year 2022, including the following: 1. The amendments made by Commission Regulation (EU) 2022/357 which adopted revisions to ...