10 Results
Monthly statistics
Document date:
30 January 2023
Basic statistical data on UCIs – December 2022 (only in French)
Studies and reports
Document date:
25 January 2023
2022 Thematic Review: STOR Obligations of IFMs
General findings and observations
Administrative sanction
Document date:
25 January 2023
Administrative sanction of 30 November 2022
Administrative sanction imposed on the investment fund manager Pemberton Asset Management S.A.
Agenda
Document date:
24 January 2023
SSM Calendar Claude Wampach – 2021
Warning
Document date:
23 January 2023
Warning issued by the UK authority (FCA) regarding the activities of an entity named Capital International Management Company/CIMC (clone of EEA authorised firm)
CSSF circular
Document date:
19 January 2023
Circular CSSF 23/829
on the application of the Guidelines on the criteria for the exemption of investment firms from liquidity requirements in accordance with Article 43(4) of Regulation (EU) 2019/2033 (EBA/GL/2022/10)
Form
Document date:
19 January 2023
Investment Fund Managers (“IFM”) – type(s) of requested authorisation(s)-registration(s)
Version 1.1
Form
Document date:
19 January 2023
Authorised investment fund managers (“IFMs”) – Type(s) of requested change(s)
Version 1.1
Administrative sanction
Document date:
10 January 2023
Administrative sanctions of 28 September 2022
Administrative sanctions imposed on three réviseurs d’entreprises agréés (approved statutory auditors)
Warning
Document date:
9 January 2023