Events listed in information
Commission Delegated Regulation (EU) 2017/583 with regard to RTS on transparency ...
ID 26277
A new consolidated version of Commission Delegated Regulation (EU) 2017/583 as regards pre- and post-trade transparency requirements of trading venues and investment firms with respect to bonds, structured finance products, emission allowances, and derivatives was published in the Official Journal (OJ) of the EU. The consolidated version includes the modifications made by Commission Delegated Regulation (EU) 2023/945 which made various amendments to enhance consistency ...
Ostateczna decyzja ws. Everest Investment Management SA
ID 26274
Following an imposed fine on Everest Investment Management SA (see eventid=20336) in March 2023 and then a its request for a reconsideration (see eventid=20842) in May 2023, KNF has released a final decision. To recall, on 24 March 2023, the company was fined a total of PLN 100,000 for: 1. failing to meet own funds requirements from December 10, 2021 to June 8, 2022 ...
Industry Letter – 2022 ESMA Common Supervisory Action on Asset Valuation
ID 26269
The Central Bank of Ireland conducted a review of Asset Valuation as part of the ESMA’s CSA in 2022. The purpose of the review was to assess whether Irish Fund Management Companies comply with the UCITS and AIFM Directives/Regulations with respect to asset valuation, adhere to valuation principles and methodologies, and evaluate the effectiveness of their policies and procedures during the COVID-19 pandemic. The ...
Złożenie przez Plus Bank SA wniosku o ponowne rozpatrzenie sprawy
ID 26264
Following a decision to impose a fine on Plus Bank SA (see eventid=23872) for failing to allow authorized and qualified persons perform supervision activities, the company has filed an application to have its case reconsidered by the KNF. To recall, on 27 October 2023, KNF imposed a fine of PLN 150,000 on Plus Bank SA for violations under the Act of 29 August 1997 ...
Ständerat will vorläufig keine neuen Instrumente für Finma
ID 26250
Der Ständerat lehnt vorerst neue Befugnisse für die FINMA ab, insbesondere im Hinblick auf systemrelevante Banken. Am Donnerstag wurde eine entsprechende Motion abgelehnt, da eine Mehrheit der Meinung war, die laufenden Arbeiten im Zusammenhang mit der Credit Suisse-Krise sollten nicht vorzeitig beeinflusst werden (eventid=22667, eventid=22744). Die Motion der WAK-S, die vom Bundesrat einen Gesetzesentwurf zu drei international verbreiteten Aufsichts- und Sanktionsinstrumente ...
FMA & APAB: Enge Zusammenarbeit auch bei den neuen Themen ESG, CSRD und CSDDD ...
ID 26243
Die Abschlussprüferaufsichtsbehörde APAB und die FMA betonen in einer gemeinsamen Pressemitteilung die enge Zusammenarbeit bei neuen Themen wie ESG, CSRD und CSDDD für einen nachhaltigen Finanzmarkt. Auf einer Onlinekonferenz informierten sie mehr als 350 Aufsichtsräte von Unternehmen im öffentlichen Interesse über aktuelle Entwicklungen in Corporate Governance, Fit & Properness von Aufsichtsratsmitgliedern und die Zusammenarbeit zwischen Aufsicht, Abschlussprüfern und P ...
Directive 2014/17/EU on credit agreements for consumers relating to residential ...
ID 26242
A new consolidated version of Directive 2014/17/EU concerning the regulatory requirements of institutions in relation to mortgage loans was published in the Official Journal (OJ) of the EU. The consolidated version contains the modifications made by Directive (EU) 2021/2167 which amended Articles 27a, 28, and 28a regarding the provision of information by credit institutions if they seeks to modify the terms of a credit, ...
Commission Implementing Regulation (EU) 2022/389 with regard to the format, ...
ID 26241
A new consolidated version of Commission Implementing Regulation (EU) 2022/389 setting out the format, content, and timing of publications of national competent authorities (NCAs) mandated by Article 57 of the Investment Firms Directive was published in the Official Journal (OJ) of the EU. Such publications include, for instance, the number of supervised firms, their total assets, aggregated own funds, supervisory actions, and penalties imposed, ...
New consolidated version: Council Regulation (EU) concerning restrictive measures ...
ID 26236
A new consolidated version of Council Regulation (EU) 2017/2063 concerning „restrictive measures in view of the situation in Venezuela“ was published in the Official Journal (OJ) of the EU. The Regulation contains amendments to its Annex IV setting out a list of persons, entities, or bodies that are sanctioned due to their engagement in „serious human rights violations or abuses or the repression of ...
Kann die Nachhaltigkeitsregulierung ihre Ziele erreichen?
ID 26230
In einem Artikel berichtet der GDV über eine Diskussion zwischen Regulierungsbehörden und regulierten Unternehmen, die in Brüssel im Rahmen eines politischen Dialogs mit dem Titel „Sustainable Finance – What’s next“ stattfand und bei der sich führende Persönlichkeiten über die Zukunft der Nachhaltigkeitsregulierung austauschten. Die Diskussion, moderiert von Jacki Davis, brachte Paulina Dejmek Hack von der DG FISMA der EU-Kommission und Christoph Jurec ...