Documents – Page 171

Guidelines

Document date: 4 March 2021

ESMA Guidelines on disclosure requirements under the Prospectus Regulation

ESMA32-382-1138

Main topics: Prospectus

Topics: Issuer Securities prospectus

Monthly statistics

Document date: 27 April 2021

Basic statistical data on UCIs – March 2021 (only in French)

Relevant for: Investment companies in risk capital (SICARs) 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)

CSSF circular

Document date: 23 April 2021

Archived since 25 April 2022

Circular CSSF-CODERES 21/12 (outdated)

Single Resolution Fund – Information on/announcement of raising 2021 ex-ante contributions according to Articles 69 and 70 of Regulation (EU) No 806/2014 of the European Parliament and of the Council of 15 July 2014

Relevant for: Credit institutions Investment firms

Topics: Resolution Single Resolution Mechanism (SRM)

CSSF circular

Document date: 20 April 2021

Circular CSSF 21/771

Application of the guidelines of the European Securities and Markets Authority on disclosure requirements under the Prospectus Regulation

Main topics: Prospectus

Topics: Securities prospectus

CSSF circular

Document date: 14 April 2021

Circular CSSF 21/770

ESMA guidelines on the reporting under Articles 4 and 12 SFTR

Main topics: Securities Financing Transaction Regulation (SFTR)

Relevant for: Central Securities Depositories (CSDs) Credit institutions 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)

Guidelines

Document date: 16 December 2020

ESMA Guidelines on stress test scenarios under the MMF Regulation – final report

ESMA34-49-289

Relevant for: 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: Money Market Fund (MMF)

CSSF circular

Document date: 9 April 2021

Circular CSSF 21/769 (as amended by Circular CSSF 22/804)

Governance and security requirements for supervised entities to perform tasks or activities through telework

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 Issuers of Tokens Payment institutions/electronic money institutions/AISPs Pension fund

Topics: Central administration Cybersecurity Data protection Information and communications technology (ICT) Information security Internal governance

CSSF circular

Document date: 7 April 2021

Archived since 2 August 2021

Circular CSSF-CPDI 21/25 (outdated)

Survey on the amount of covered deposits held on 31 March 2021

Relevant for: Credit institutions Investment firms

Topics: Deposit Guarantee Schemes Depositor and Investor Protection Board (CPDI) Luxembourg Deposit Guarantee Fund (FGDL)

CSSF regulation

Document date: 6 April 2021

CSSF Regulation No 21-01 of 31 March 2021

on the setting of the countercyclical buffer rate for the second quarter of 2021

Relevant for: Credit institutions Investment firms

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