Archives: Documents

10 Results

  • EU regulation
    Document date: 2 May 2023

    Council Regulation (EU) 2023/888 of 28 April 2023

    concerning restrictive measures in view of actions destabilising the Republic of Moldova

    Main topics: Financial crime
    Relevant for: Central Securities Depositories (CSDs) Credit institutions Crowdfunding service providers Data Reporting Service Providers (DRSPs) Investment firms Investment fund managers Investment funds and vehicles Mortgage credit intermediaries Payment institutions/electronic money institutions/AISPs Securitisation undertakings Specialised PFS Support PFS
    Topics: International sanctions Restrictive measures
  • CSSF circular
    Document date: 16 October 2023

    Circular CSSF 23/843

    Adoption of the guidelines, by the EBA, on money laundering and terrorist financing risk factors when providing access to financial services

    Main topics: Financial crime
    Relevant for: Central Securities Depositories (CSDs) Consumer protection Credit institutions Credit servicers Crowdfunding service providers Data Reporting Service Providers (DRSPs) Investment firms Investment fund managers Investment funds and vehicles Payment institutions/electronic money institutions/AISPs Securitisation undertakings Specialised PFS Support PFS
    Topics: AML/CFT Terrorist financing
  • CSSF circular
    Document date: 16 October 2023

    Circular CSSF 23/842

    Adoption of the revised guidelines, by the EBA, on money laundering and terrorist financing risk factors – complement of Circular CSSF 21/782

    Main topics: Financial crime
    Relevant for: Central Securities Depositories (CSDs) Credit institutions Credit servicers Crowdfunding service providers Data Reporting Service Providers (DRSPs) Investment firms Investment fund managers Investment funds and vehicles Payment institutions/electronic money institutions/AISPs Securitisation undertakings Specialised PFS Support PFS
    Topics: AML/CFT Terrorist financing
  • CSSF circular
    Document date: 13 October 2023

    Circular CSSF 23/841

    1) Application of the Guidelines of the European Securities and Markets Authority (“ESMA”) on certain aspects of the MiFID II remuneration requirements (ESMA35-43-3565)
    2) Repeal of Circular CSSF 14/585
    3) Modification of Circular CSSF 07/307

    Main topics: Markets in Financial Instruments (MiFID II/MiFIR)
    Relevant for: Credit institutions Investment firms Investment fund managers
    Topics: Internal governance Remuneration UCI administration