Archives: Documents

10 Results

Podcast

Document date: 1 February 2021

A look behind the scenes of AML on-site inspections in the PFS sector

Main topics: Financial crime

Relevant for: Specialised PFS

Monthly statistics

Document date: 29 January 2021

Basic statistical data on UCIs – December 2020 (only in French)

Relevant for: Investment companies in risk capital (SICARs) 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: 27 January 2021

Archived since 28 February 2024

Circular letter

2020 Survey related to the fight against money laundering and terrorist financing

Main topics: Financial crime

Relevant for: Central Securities Depositories (CSDs) Credit institutions Investment firms Investment fund managers Investment funds and vehicles Payment institutions/electronic money institutions/AISPs Specialised PFS Support PFS

Topics: AML/CFT

Studies and reports

Document date: 27 January 2021

ML/TF vertical risk assessment: virtual asset service providers

Ministry of Justice

Main topics: Financial crime

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)

Topics: AML/CFT Risk assessment Virtual assets

Warning

Document date: 18 January 2021

Warning issued by the UK authority (FCA) regarding the activities of an entity named MIR Capital S.C.A

Topics: Warnings issued by other authorities

Form

Document date: 15 January 2021

Archived since 23 February 2026

Notification form – High risk exposures criteria not defined in EBA-GL-2019-01

Relevant for: Credit institutions

Statement

Document date: 15 January 2021

ESMA reminds firms of the MiFID II rules on reverse solicitation

Main topics: Markets in Financial Instruments (MiFID II/MiFIR)

Relevant for: Credit institutions Investment firms Management companies - Chapter 15 Management companies - Chapter 16 Undertakings for collective investment subject to Part II of the Law of 17 December 2010 (Part II UCIs)

Statement

Document date: 13 January 2021

Information for customers of UK financial institutions on the end of the Brexit transition period

EBA Statement regarding Brexit addressed to consumers

Relevant for: Consumer protection

Topics: Brexit

Warning

Document date: 8 January 2021

Warning issued by the Austrian authority (FMA) regarding the activities of an entity named Global Pro Trader Ltd

Topics: Warnings issued by other authorities