Regulatory framework

FAQ “Application form – Third country auditors and audit entities”

Regulation (EU) 2020/1503 of the European Parliament and of the Council of 7 October 2020

on European crowdfunding service providers for business, and amending Regulation (EU) 2017/1129 and Directive (EU) 2019/1937 (Text with EEA relevance)

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

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

Commission Delegated Regulation (EU) 2020/1423 of 14 March 2019

on supplementing Directive (EU) 2015/2366 of the European Parliament and of the Council with regard to regulatory technical standards on the criteria for appointing central contact points within the field of payment services and on the functions of those central contact points (Text with EEA relevance)

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.

FAQ related to Circular CSSF 20/747 – version 2

Version 2, October 2020

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

Version 2, October 2020

UN designation of 8 October 2020 – SC/14321

CSSF Regulation No 20-06 of 30 September 2020

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

FAQ in relation to procedures and protocols exempted from strong customer authentication pursuant to Article 17 of Delegated Regulation (EU) 2018/389

ESMA Public Statement: Update on the process of revising the guidance published under the Prospectus Directive and applicability of the CESR recommendations concerning specialist issuers

ESMA31-62-1491

Circular CSSF 20/752

ESMA Guidelines on Liquidity Stress Testing in UCITS and AIFs

Circular CSSF 20/751 as amended by Circular CSSF 23/830

Adoption of the Guidelines of the European Banking Authority on management of non-performing and forborne exposures (EBA/GL/2018/06), disclosure of non-performing and forborne exposures (EBA/GL/2018/10)

ESMA Decision of 16 September 2020

renewing the temporary requirement to natural or legal persons who have net short positions to lower the notification thresholds of net short positions in relation to the issued share capital of companies whose shares are admitted to trading on a regulated market to notify the competent authorities above a certain threshold in accordance with point (a) of Article 28(1) of Regulation (EU) No 236/2012 of the European Parliament and of the Council

Commission Delegated Regulation (EU) 2020/1272 of 4 June 2020

amending and correcting Delegated Regulation (EU) 2019/979 supplementing Regulation (EU) 2017/1129 of the European Parliament and of the Council with regard to regulatory technical standards on key financial information in the summary of a prospectus, the publication and classification of prospectuses, advertisements for securities, supplements to a prospectus, and the notification portal

Commission Delegated Regulation (EU) 2020/1273 of 4 June 2020

amending and correcting Delegated Regulation (EU) 2019/980 supplementing Regulation (EU) 2017/1129 of the European Parliament and of the Council as regards the format, content, scrutiny and approval of the prospectus to be published when securities are offered to the public or admitted to trading on a regulated market

Annex 1 of Circular CSSF 20/747

Version of 14.07.2022

Circular CSSF 20/750 (as amended by Circular CSSF 22/828)

Requirements regarding information and communication technology (ICT) and security risk management

CSSF Regulation No 20-05 (only in French)

of 14 August 2020 amending CSSF Regulation No 12-02 of 14 December 2012 on the fight against money laundering and terrorist financing