Documents – Page 191

Internal organisation

Document date: 14 October 2020

Operating rules of the Audit Technical Committee (only in French)

Relevant for: Public Oversight of the Audit Profession

Topics: Approved statutory auditor (réviseur d'entreprises agréé) Audit Committee Auditing standards Cabinet de révision agréé Ethical standard Statutory auditor (réviseur d'entreprises)

Internal organisation

Document date: 16 October 2020

Terms of reference / Public – Private Partnership on AML/CFT in the Banking Sector

Main topics: Financial crime

Relevant for: Credit institutions

Topics: AML/CFT

EU regulation

Document date: 15 October 2020

Council Implementing Regulation (EU) 2020/1480 of 14 October 2020

implementing Regulation (EU) 2018/1542 concerning restrictive measures against the proliferation and use of chemical weapons

Main topics: Financial crime

Relevant for: Credit institutions Crowdfunding service providers E-money institutions Investment firms Investment fund managers Investment funds and vehicles Payment institutions Specialised PFS Support PFS Virtual Asset Service Providers (VASPs)

Topics: AML/CFT International sanctions Proliferation financing Terrorist financing

Studies and reports

Document date: 13 October 2020

Annual Progress Report on the implementation of the European Union Strategy against the proliferation of weapons of mass destruction (2019)

Main topics: Financial crime

Relevant for: Credit institutions E-money institutions Investment firms Investment fund managers Investment funds and vehicles Payment institutions Specialised PFS Support PFS

Topics: International sanctions Proliferation financing Restrictive measures Terrorist financing

EU regulation

Document date: 13 October 2020

Council Implementing Regulation (EU) 2020/1463 of 12 October 2020

implementing Regulation (EU) 2018/1542 concerning restrictive measures against the proliferation and use of chemical weapons

Main topics: Financial crime

Relevant for: Credit institutions

Topics: AML/CFT International sanctions Proliferation financing Restrictive measures

Warning

Document date: 12 October 2020

Warning issued by the UK authority (FCA) regarding the activities of an entity named Natixis life and wealth investment Management (clone of EEA authorised firm)

Topics: Warnings issued by other authorities

Ministerial regulation

Document date: 9 October 2020

Ministerial Regulation of 9 October 2020

Ministerial Regulation of 9 October 2020 amending Annex I C of Grandducal Regulation of 29 October 2010 enforcing the Law of 27 October 2010 implementing United Nations Security Council resolutions as well as acts adopted by the European Union concerning prohibitions and restrictive measures in financial matters in respect of certain persons, entities and groups in the context of the combat against terrorist financing.

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: International sanctions Restrictive measures Terrorist financing

CSSF FAQ

Document date: 9 October 2020

FAQ related to Circular CSSF 20/747 – version 2 – track changes

Version 2, October 2020

Main topics: Financial crime

Relevant for: Credit institutions Payment institutions/electronic money institutions/AISPs

Topics: AML/CFT Terrorist financing

CSSF FAQ

Document date: 9 October 2020

FAQ related to Circular CSSF 20/747 – version 2

Version 2, October 2020

Main topics: Financial crime

Relevant for: Credit institutions Payment institutions/electronic money institutions/AISPs

Topics: AML/CFT Terrorist financing

CSSF regulation

Document date: 7 October 2020

CSSF Regulation No 20-06 of 30 September 2020

on the setting of the countercyclical buffer rate for the fourth quarter of 2020

Relevant for: Credit institutions Investment firms

Topics: Macroprudential instrument

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