Archives: Documents

10 Results

  • Form
    Document date: 1 July 2022

    Notification template for outsourcing a critical or important business process (BPO)

    Relevant for: Alternative investment fund managers Central Securities Depositories (CSDs) Credit institutions Data Reporting Service Providers (DRSPs) E-money institutions Investment companies in risk capital (SICARs) Investment firms Management companies - Chapter 15 Payment institutions 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: Internal governance Operational risk Outsourcing
  • CSSF circular
    Document date: 29 June 2022
    Archived since 27 March 2023

    Circular CSSF 22/818 repealed by Circular CSSF 23/831

    ESMA Guidelines on stress test scenarios under Article 28 of the Money Market Fund Regulation

    Relevant for: Investment companies in risk capital (SICARs) Investment firms Investment fund managers Other specific authorisations, registrations and information Specialised investment funds (SIFs) 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: Depositary Internal governance Liquidity Money Market Fund (MMF) Risk management Stress test
  • CSSF circular
    Document date: 24 June 2022

    Circular CSSF 22/816

    Adoption of Guideline (EU) 2022/508 of the European Central Bank of 25 March 2022 (ECB/2022/12) and of the Recommendation of the European Central Bank of 25 March 2022 (ECB/2022/13) regarding the exercise of some options and discretions available in Union law by national competent authorities

    Relevant for: Credit institutions Investment firms
    Topics: Capital requirement Liquidity
  • CSSF circular
    Document date: 22 June 2022
    Archived since 26 October 2022

    Circular CSSF 22/815 repealed by Circular CSSF 22/822

    FATF statements concerning
    1) high-risk jurisdictions on which enhanced due diligence and, where appropriate, counter-measures are imposed
    2) jurisdictions under increased monitoring of the FATF

    Main topics: Financial crime
    Relevant for: Central Securities Depositories (CSDs) Credit institutions Crowdfunding service providers Crypto-Assets Service Providers (CASPs) Data Reporting Service Providers (DRSPs) Investment firms Investment fund managers Investment funds and vehicles Mortgage credit intermediaries Payment institutions/electronic money institutions/AISPs Specialised PFS Support PFS Virtual Asset Service Providers (VASPs)
    Topics: AML/CFT Proliferation financing Terrorist financing