Events listed in Markets in Financial Instruments Directive (MiFID)
National regulators strengthen their supervision of the compliance function
ID 24206
ESMA published a follow-up report assessing the progress of certain NCAs in strengthening their supervisory frameworks and practices related to the compliance function under MiFID I. The report focused on the NCAs of CySEC (Cyprus), HCMC (Greece), CBI (Iceland), AFM (Netherlands), and ATVP (Slovenia), which were part of the original peer review conducted in 2017. According to the report, these NCAs have made **significant ...
FAQ on the revised long form report framework introduced by Circulars CSSF 22/821 ...
ID 22822
The CSSF published a set of FAQs as an XLSX-file, aiming to provide clarity regarding the revised SAQ and other aspects of the new framework introduced in Circulars CSSF 22/821 and 22/827. These circulars have been published to regulate credit institutions and branches of credit institutions. The CSSF has received numerous questions from these entities after the implementation of the revised framework. To make ...
Investment Fund Managers (“IFM”) – type(s) of requested ...
ID 21630
On 30 January 2023, the Commission de Surveillance du Secteur Financier (CSSF) published an updated form entitled „INVESTMENT FUND MANAGERS (“IFM”) – TYPE(S) OF REQUESTED AUTHORISATION(S)/REGISTRATION(S)“ in DOCX-format. The form is intended to be used by Investment Fund Managers (IFMs), under the prudential supervision by an official supervisory authority in Luxembourg, for the process of selecting the requested authorisation or registration concerning investment ...