Archives: Documents

10 Results

  • EU regulation
    Document date: 14 March 2012

    Regulation (EU) No 236/2012 of the European Parliament and of the Council of 14 March 2012

    on short selling and certain aspects of credit default swaps (Text with EEA relevance)

    Main topics: Short Selling (SSR) Takeover bids
    Relevant for: Investment companies in risk capital (SICARs) Securitisation undertakings 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 regulation
    Document date: 1 July 2016

    CSSF Regulation No 16-07

    relating to out-of-court complaint resolution

    Relevant for: Consumer protection Credit institutions Investment firms Investment fund managers Other specific authorisations, registrations and information Payment institutions/electronic money institutions/AISPs Pension fund Public Oversight of the Audit Profession Securitisation undertakings 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)
    Topics: Complaint Consumer protection
  • EU regulation
    Document date: 9 December 2014

    Regulation (EU) No 1286/2014 of the European Parliament and of the Council of 26 November 2014

    on key information documents for packaged retail and insurance-based investment products (PRIIPs) (Text with EEA relevance)

    Relevant for: Credit institutions Investment companies in risk capital (SICARs) Investment firms 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: Key Investor Information Document (KIID) PRIIPs
  • RTS
    Document date: 12 April 2017

    Commission Delegated Regulation (EU) No 2017/653 of 8 March 2017

    supplementing Regulation (EU) No 1286/2014 of the European Parliament and of the Council on key information documents for packaged retail and insurance-based investment products (PRIIPs) by laying down regulatory technical standards with regard to the presentation, content, review and revision of key information documents and the conditions for fulfilling the requirement to provide such documents

    Relevant for: Credit institutions Investment companies in risk capital (SICARs) Investment firms Other specific authorisations, registrations and information Securitisation undertakings 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: Key Investor Information Document (KIID) PRIIPs
  • Grand-ducal regulation
    Document date: 21 December 2017
    Archived since 1 January 2022

    Grand-ducal Regulation of 21 December 2017 (consolidated version) repealed by Grand-ducal Regulation of 17 December 2021

    relating to the fees to be levied by the CSSF

    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 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
  • RTS
    Document date: 11 May 2017

    Corrigendum to Commission Delegated Regulation (EU) No 2017/653 of 8 March 2017

    supplementing Regulation (EU) No 1286/2014 of the European Parliament and of the Council on key information documents for packaged retail and insurance-based investment products (PRIIPs) by laying down regulatory technical standards with regard to the presentation, content, review and revision of key information documents and the conditions for fulfilling the requirement to provide such documents

    Relevant for: Credit institutions Investment companies in risk capital (SICARs) Investment firms 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: Key Investor Information Document (KIID) PRIIPs
  • EU regulation
    Document date: 10 April 2018

    Commission Delegated Regulation (EU) 2018/990 of 10 April 2018

    amending and supplementing Regulation (EU) 2017/1131 of the European Parliament and of the Council with regard to simple, transparent and standardised (STS) securitisations and asset-backed commercial papers (ABCPs), requirements for assets received as part of reverse repurchase agreements and credit quality assessment methodologies (Text with EEA relevance)

    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)
  • EU regulation
    Document date: 8 November 2019

    Commission Delegated Regulation (EU) 2019/1866 of 3 July 2019

    amending Delegated Regulation (EU) 2017/653 to align the transitional arrangement for PRIIP manufacturers offering units of funds referred to in Article 32 of Regulation (EU) No 1286/2014 of the European Parliament and of the Council as underlying investment options with the prolonged exemption period under that Article (Text with EEA relevance)

    Relevant for: Credit institutions Investment companies in risk capital (SICARs) Investment firms Other specific authorisations, registrations and information Securitisation undertakings 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: Key Investor Information Document (KIID) PRIIPs