Archives: Documents

10 Results

  • 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 Specialised PFS Support PFS Virtual Asset Service Providers (VASPs)
    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 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) Virtual Asset Service Providers (VASPs)
    Topics: AML/CFT Artificial Intelligence (AI) Customer onboarding Cybersecurity Data protection Financial innovation FinTech Information security Outsourcing Risk management
  • Grand-ducal regulation
    Document date: 22 December 2021
    Archived since 1 January 2023

    Grand-ducal Regulation of 17 December 2021 (consolidated version) repealed by Grand-ducal Regulation of 23 December 2022

    relating to the fees to be levied by the Commission de Surveillance du Secteur Financier

    Main topics: Benchmarks Enforcement of Issuer Disclosure European Market Infrastructure Regulation (EMIR) Information requirements for issuers of securities Markets in Financial Instruments (MiFID II/MiFIR) Prospectus Squeeze-out and sell-out Takeover bids
    Relevant for: Central Securities Depositories (CSDs) Credit institutions Crowdfunding service providers Investment firms Investment fund managers Investment funds and vehicles Mortgage credit intermediaries Payment institutions/electronic money institutions/AISPs Public Oversight of the Audit Profession Specialised PFS Support PFS
    Topics: Approved statutory auditor (réviseur d'entreprises agréé) Benchmark regulation Cabinet de révision Cabinet de révision agréé Candidate to the Audit profession Capital requirement ELTIF EuSEF EuVECA Money Market Fund (MMF) Postal financial services Statutory auditor (réviseur d'entreprises) Third-country audit entities Trading venue Transaction reporting Transparency