Documents – Page 135

CSSF guidance

Document date: 21 January 2022

Summaries of national provisions governing the marketing requirements for UCITS

Version 2

Relevant for: Undertakings for collective investment in transferable securities (UCITS)

Topics: Marketing

White paper

Document date: 21 January 2022

White paper – Distributed Ledger Technologies (DLT) and blockchain

Technological risks and recommendations in the financial sector

Relevant for: Central Securities Depositories (CSDs) Credit institutions Crowdfunding service providers Data Reporting Service Providers (DRSPs) Investment firms Investment fund managers Investment funds and vehicles Mortgage credit intermediaries Payment institutions/electronic money institutions/AISPs Public Oversight of the Audit Profession Securitisation undertakings Specialised PFS Support PFS

Topics: Blockchain Distributed Ledger Technology (DLT) Financial innovation Information and communications technology (ICT) Virtual assets

EU regulation

Document date: 11 January 2022

Commission Delegated Regulation (EU) 2022/27 of 27 September 2021

amending Regulation (EU) No 236/2012 of the European Parliament and of the Council as regards the adjustment of the relevant threshold for the notification of significant net short positions in shares (Text with EEA relevance)

Main topics: Short Selling (SSR)

CSSF circular

Document date: 11 January 2022

Circular CSSF 22/792

Application of the Guidelines of the European Securities and Market Authority on Settlement Fails Reporting under Article 7 of CSDR (ESMA70-156-4717).

Relevant for: Central Securities Depositories (CSDs)

Topics: CSDR

Opinion

Document date: 5 January 2022

Opinion of the European Banking Authority on ‘de-risking’

EBA

Main topics: Financial crime

Relevant for: Central Securities Depositories (CSDs) Credit institutions Credit servicers Crowdfunding service providers Data Reporting Service Providers (DRSPs) Investment firms Investment fund managers Investment funds and vehicles Payment institutions/electronic money institutions/AISPs Securitisation undertakings Specialised PFS Support PFS

Topics: AML/CFT Risk management Terrorist financing

Public consultation

Document date: 5 January 2022

Archived since 12 December 2022

Consultation on draft Guidelines on the use of remote customer onboarding solutions

EBA/CP/2021/40

Main topics: Financial crime

Relevant for: Central Securities Depositories (CSDs) Credit institutions Crowdfunding service providers Data Reporting Service Providers (DRSPs) Investment companies in risk capital (SICARs) Investment firms Investment fund managers Other specific authorisations, registrations and information Payment institutions/electronic money institutions/AISPs Pension fund Securitisation undertakings Specialised investment funds (SIFs) Specialised PFS Support PFS Undertakings for collective investment in transferable securities (UCITS) Undertakings for collective investment subject to Part II of the Law of 17 December 2010 (Part II UCIs)

Topics: AML/CFT Artificial Intelligence (AI) Customer onboarding Cybersecurity Data protection Financial innovation FinTech Information security Outsourcing Risk management

CSSF circular

Document date: 4 January 2022

Circular CSSF 22/791

specifying the criteria to assess the exceptional cases when institutions exceed the large exposure limits of Article 395(1) of Regulation (EU) No 575/2013 and the time and measures to return to compliance pursuant to Article 396(3) of Regulation (EU) No 575/2013 (EBA/GL/2021/09)

Relevant for: Credit institutions Investment firms

Topics: Internal governance Risk management

CSSF regulation

Document date: 27 December 2021

CSSF Regulation No 21-05 of 24 December 2021

on the setting of the countercyclical buffer rate for the first quarter of 2022

Relevant for: Credit institutions Investment firms

CSSF regulation

Document date: 23 December 2021

Archived since 1 January 2023

CSSF Regulation No 21-04 repealed by CSSF Regulation No 22-07 (only in French)

concerning systemically important institutions authorised in Luxembourg

Relevant for: Credit institutions Investment firms

Administrative sanction

Document date: 23 December 2021

Administrative penalty of 15 November 2021

Administrative penalty imposed on the credit institution Banque de Luxembourg S.A.

Relevant for: Credit institutions

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