Events listed in Investment Firms Directive (IFD)
Real Decreto 1180/2023 sobre sistemas de indemnización de los inversores, y de ...
ID 26591
The Royal Decree 1180/2023, enacted on December 27, 2023, brings about several adjustments to the Spanish financial regulatory framework, primarily focusing on modifications to the Investment Guarantee Fund (FOGAIN) and the implementing regulations for Law 35/2003 on collective investment schemes. The amendments aim to enhance the efficiency, competitiveness, and stability of the financial sector, aligning it with European directives while addressing specific challenges withi ...
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, ...
Commission Implementing Regulation (EU) 2023/2526 as regards the content lists of ...
ID 25870
New Commission Implementing Regulation (EU) 2023/2526 as regards statistical data to be disclosed by national competent authorities (NCAs) pursuant to Article 57(1) of the Investment Firms Directive (IFD) was published in the Official Journal (OJ) of the EU. The implementing regulation modifies Commission Implementing Regulation (EU) 2022/389 which itself sets out the format, content, timing, and templates for NCA publications mandated by Article 57 ...
Nadere werkafspraken AFM en DNB door de IFR/IFD
ID 24901
The introduction of the Investment Firm Directive (IFD) and Investment Firm Regulation (IFR) has led to additional agreements between the Netherlands Authority for the Financial Markets (AFM) and the Dutch Central Bank (DNB) regarding supervision. These additional agreements pertain to sharing information and jointly supervising investment firms and managers of investment institutions and UCITS providing MiFID services. The AFM and DNB are responsible for ...
Commission Delegated Regulation (EU) 2023/1668 of 25 May 2023 supplementing ...
ID 24793
New Commission Delegated Regulation (EU) 2023/1668 concerning regulatory technical standards specifying how competent authorities should go about measuring risks or elements of risks that investment firms face or pose to others that are not (sufficiently) covered by the own funds requirements set out in part three and four of the Investment Firms Regulation (EU) 2019/2033 (IFR) was published in the Official Journal (OJ) of ...
Commission Delegated Regulation (EU) 2023/1651 of 17 May 2023 supplementing ...
ID 24700
New Commission Delegated Regulation (EU) 2023/1651 specifying the liquidity risk assessment procedure of national competent authorities (NCAs) to determine whether or not any additional liquidity requirements need to be imposed on investment firms beyond the minimum requirements set out in Part V of the Investment Firms Regulation (IFR) was published in the Official Journal (OJ) of the EU. The key objective of the new ...
EBA GL 2021 13 – GLs on sound remuneration policies for investment firms
ID 24377
EBA has published an updated version of the compliance table for its „GLs on sound remuneration policies for investment firms“. To recall, these Guidelines (EBA/GL/2021/13) were published in November 2021 to take effect five months later. The alignment of the frameworks for credit institutions and investment firms ensures a level playing field and cross-sectoral consistency, while the application of the principle of proportionality is ...
The CNMV implements EBA’s guidelines following common criteria and methodologies ...
ID 23758
The CNMV has informed EBA of its intention to adopt the “Guidelines on common procedures and methodologies for the SREP under IFD“ These guidelines serve as a framework for the CNMV to assess and evaluate specific criteria related to IFs and ensure compliance by relevant entities under its supervisory powers. The main objectives of these guidelines are to provide **detailed information on the common ...
Commission Implementing Regulation (EU) 2023/1119 of 12 January 2023 laying down ...
ID 23637
Commission Implementing Regulation (EU) 2023/1119 as regards the forms, templates, and procedures for the exchange of information between competent authorities of home and host member states in relation to the supervision of cross-border investment firms was published in the Official Journal (OJ) of the EU. The regulation supplements Commission Delegated Regulation (EU) 2023/1117 which defines the specific content of the information to be exchanged ...
Commission Delegated Regulation (EU) 2023/1117 of 12 January 2023 supplementing ...
ID 23635
Commission Delegated Regulation (EU) 2023/1117 as regards the type and nature of information that shall be exchanged between competent authorities of home and host member states for effective supervision of investment firms conducting business cross-border was published in the Official Journal (OJ) of the EU. ###### According to the regulation, **the following information must be provided by the home state authority to the host ...