Documents – Page 96

implementing Regulation (EU) 2023/1214 amending Regulation (EU) No 833/2014 concerning restrictive measures in view of Russia’s actions destabilising the situation in Ukraine

Main topics: Financial crime

Topics: International sanctions Restrictive measures Ukraine

Guidelines

Document date: 7 September 2023

Guidance for EU operators: implementing enhanced due diligence to shield against Russia sanctions circumvention

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 Public Oversight of the Audit Profession Specialised PFS Support PFS Virtual Asset Service Providers (VASPs)

Topics: International sanctions Restrictive measures Ukraine

Technical document

Document date: 22 September 2023

AIFM Reporting – Technical Guidance

Version 1.7

Relevant for: Alternative investment fund managers

Topics: Information and communications technology (ICT)

Video

Document date: 18 September 2023

Liquidity Stress Test for Luxembourg Investment Funds: the Time to Liquidation Approach

Relevant for: Investment companies in risk capital (SICARs) Investment fund managers 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: Liquidity Macroprudential instrument Market risk Risk management Stress test

CSSF circular

Document date: 15 September 2023

Circular CSSF 23/840

Application of the Guidelines of the European Securities and Markets Authority on MiFID II product governance requirements

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

Relevant for: Alternative investment fund managers Consumer protection Credit institutions Investment firms Management companies - Chapter 15

Topics: Investor protection

EU regulation

Document date: 14 September 2023

Council Implementing Regulation (EU) 2023/1765 of 13 September 2023

implementing Regulation (EU) No 269/2014 concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine

Main topics: Financial crime

Topics: International sanctions Restrictive measures Ukraine

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