Archives: Documents

10 Results

  • EU regulation
    Document date: 6 May 2021

    Commission Delegated Regulation (EU) 2021/732 of 26 January 2021

    amending Delegated Regulation (EU) No 667/2014 with regard to the content of the file to be submitted by the investigation officer to the European Securities and Markets Authority, the right to be heard with regard to interim decisions and the lodging of fines and periodic penalty payments (Text with EEA relevance)

    Main topics: European Market Infrastructure Regulation (EMIR)
    Relevant for: Central Securities Depositories (CSDs)
  • EU regulation
    Document date: 6 May 2021

    Commission Delegated Regulation (EU) 2021/731 of 26 January 2021

    supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to rules of procedure for penalties imposed on third-country central counterparties or related third parties by the European Securities and Markets Authority (Text with EEA relevance)

    Main topics: European Market Infrastructure Regulation (EMIR)
    Topics: Central counterparty (CCP) Financial counterparty (FC) Non-financial counterparty (NFC) Trade repository (TR)
  • Technical document
    Document date: 4 May 2021

    User Guide – Reporting under Article 37 of the MMFR

    Version 2

    Relevant for: Alternative investment fund managers Management companies - Chapter 15 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)