Events listed in Q&As
FAQ on MAS Guidelines on Outsourcing
ID 26179
Following the publication of guidelines on outsourcing arrangements (please see EventID 24383 in this context), the Monetary Authority of Singapore (MAS) has also published an accompanying set of frequently asked questions (FAQs) relating to various issues addressed in the guidelines. These FAQs aim to clarify the application of the guidelines and various requirements thereunder, including requirements pertaining to the audit and review obligations or ...
FG23/4: Dual-regulation firms Remuneration Code (SYSC 19D): Frequently asked ...
ID 26081
The Financial Conduct Authority, FCA, has published revised frequently asked questions (FAQs) as to the remuneration policies of dually regulated CRR firms including investment firms, banks, and building societies. These FAQs are intended to assist firms in their understanding of the Guidelines on sound remuneration policies under Articles 74(3) and 75(2) of Directive 2013/36/EU and disclosures under Article 450 of Regulation (EU) No 575/2013 ...
[JC 2023 22 ] Consolidated Q&As on the PRIIPs Key Information Document
ID 26071
The three ESAs have published a new consolidated version of their Q&As on the PRIIPs KID, to be furnished by manufacturers and distributors of products falling under the PRIIPs Regulation. Compared to the following version, these eight questions were included: **[Page 8: I. General topics 11. If a product, linked to a single ISIN code, is available in both the single and recurring premium ...
FAQ zu Eigenmittelanforderungen iSd. Art. 17 IFR
ID 26031
Die BaFin veröffentlicht deine FAQ zu Eigenmittelanforderungen iSd. Art. 17 IFR. Folgende Frage und die darauf bezogene Antwort ist zu beachten: 1. Findet Art. 17 Abs. 2 Unterabsatz 2 der Delegierten Verordnung 2019/2033 (IFR) nur auf die Finanzportfolioverwaltung Anwendung oder auch auf die Anlageberatung? Art. 17 Abs. 2 Unterabsatz 2 der Delegierten Verordnung 2019/2033 (IFR) findet nur auf die Finanzportfolioverwaltung Anwendung, nicht jedoch auf ...
CSSF FAQ – SUBMISSION OF CLOSING DOCUMENTS AND FINANCIAL INFORMATION BY ...
ID 26022
The CSSF has updated its FAQ on the submission of closing documents and financial information by investment funds. The FAQ provides detailed guidance on the procedures for electronic transmission of documents to the CSSF using a secure infrastructure. It outlines the specific documents to be submitted based on the manager’s authorization, the required format, nomenclature, and deadlines for submission. The document also specifies the ...
FAQ CSSF – Questions/Réponses relatives à la loi du 17 décembre 2010 ...
ID 26020
The CSSF FAQ – LAW OF 17 DECEMBER 2010 and contains information related to the Luxembourg Law of 17 December 2010 on undertakings for collective investment (UCI Law). It includes updates and modifications made to the FAQ over time, with this version 16 published 30 November 2023. The document covers various topics such as the eligibility of investments in the 10% limit of Article ...
FAQ – Circular CSSF 22/811 on UCI Administrators (UCIA) Version 3 – November 2023
ID 25985
The CSSF FAQ Circular CSSF 22/811 on UCIA was recently updated into Version 3 and provides detailed guidance and clarification on the supervisory expectations of the competent authority, the CSSF, regarding UCI administrators. The FAQ addresses various key aspects of the UCIA Circular, including ICT resources, business continuity, and disaster recovery planning, the scope of application, administration functions, delegation, and annual reporting requirements. In ...
Central Bank publishes 40th Edition of the UCITS Q&A
ID 25957
The 40th version of the UCITS Q&A was published, offering comprehensive guidance on Central Bank UCITS Regulations in Ireland, covering establishment, management, and compliance. Key points of the Q&A document include legal notification, depositary obligations, and disclosure specifics like rebate arrangements. It defines directed brokerage and outlines UCITS management company requirements, emphasizing board documentation and evaluations. Transitional arrangements ...
Central Bank published 49th Edition of the AIFMD Q&A
ID 25951
The AIFMD Q&A, first published on 16 May 2013 by the Irish Central Bank, recently came out in its 49th Edition. This Q&A aims to address anticipated questions related to the implementation of the AIFMD, providing guidance until definitive positions and practices are established. Not intended for assessing regulatory compliance, the Q&A is accessible through ‚Markets Update‘ and the Central Bank website, subject to ...
Q&A document related to the Code of good practice for investors
ID 25922
The CNMV has issued a Q&A document in relation to the Code of good practice for investors, a voluntary framework for institutional investors, asset managers, and proxy advisors. The Q&A document addresses consultations from the industry and provides insights into the interpretation of the Code’s principles. The Code is voluntary, aiming to enhance corporate governance and investment practices, the Q&A document consists of 15 ...