Regulatory framework

Regulation (EU) 2016/1033 of the European Parliament and of the Council of 23 June 2016

amending Regulation (EU) No 600/2014 on markets in financial instruments, Regulation (EU) No 596/2014 on market abuse and Regulation (EU) No 909/2014 on improving securities settlement in the European Union and on central securities depositories

Circular CSSF 16/637

Update of Circular CSSF 08/337 on the entry into force of the Law of 11 January 2008 and of Grand-ducal Regulation of 11 January 2008 on transparency requirements for issuers, as amended

Circular CSSF 16/638

Update of Circular CSSF 08/349 relating to details regarding the information to be notified with respect to major holdings in accordance with the Law of 11 January 2008 on transparency requirements for issuers, as amended

Circular CSSF 16/636

ESMA Guidelines on Alternative Performance Measures

Commission Implementing Regulation (EU) 2016/962 of 16 June 2016

laying down implementing technical standards with regard to the uniform formats, templates and definitions for the identification and transmission of information by competent authorities and resolution authorities to the European Banking Authority according to Directive 2014/59/EU of the European Parliament and of the Council

EBA Guidelines on methods for calculating contributions to deposit guarantee schemes

EBA/GL/2015/10

Commission Delegated Regulation (EU) 2017/579 of 13 June 2016 (RTS 5)

supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on the direct, substantial and foreseeable effect of derivative contracts within the Union and the prevention of the evasion of rules and obligations

Commission Delegated Regulation (EU) 2017/578 of 13 June 2016 (RTS 8)

supplementing Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards specifying the requirements on market making agreements and schemes

Commission Delegated Regulation (EU) 2017/577 of 13 June 2016 (RTS 3)

supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on the volume cap mechanism and the provision of information for the purposes of transparency and other calculations

Corrigendum to Commission Delegated Regulation (EU) 2016/1178 of 10 June 2016

supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on the clearing obligation

Commission Implementing Regulation (EU) 2016/911 of 9 June 2016

laying down implementing technical standards with regard to the form and the content of the description of group financial support agreements in accordance with Directive 2014/59/EU of the European Parliament and of the Council establishing a framework for the recovery and resolution of credit institutions and investment firms

CSSF Regulation No 16-03 of 9 June 2016 (only in French)

on the setting of the countercyclical buffer rate for the third quarter of 2016

Regulation (EU) 2016/1011 of the European Parliament and of the Council of 8 June 2016

on indices used as benchmarks in financial instruments and financial contracts or to measure the performance of investment funds and amending Directives 2008/48/EC and 2014/17/EU and Regulation (EU) No 596/2014

Commission Delegated Regulation (EU) 2017/576 of 8 June 2016 (RTS 28)

supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the annual publication by investment firms of information on the identity of execution venues and on the quality of execution

Commission Delegated Regulation (EU) 2017/575 of 8 June 2016 (RTS 27)

supplementing Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards concerning the data to be published by execution venues on the quality of execution of transactions

Commission Delegated Regulation (EU) 2016/1712 of 7 June 2016

supplementing Directive 2014/59/EU of the European Parliament and of the Council establishing a framework for the recovery and resolution of credit institutions and investment firms with regard to regulatory technical standards specifying a minimum set of the information on financial contracts that should be contained in the detailed records and the circumstances in which the requirement should be imposed

Commission Delegated Regulation (EU) 2017/574 of 7 June 2016 (RTS 25)

supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the level of accuracy of business clocks

Commission Delegated Regulation (EU) 2017/573 of 6 June 2016 (RTS 10)

supplementing Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on requirements to ensure fair and non-discriminatory co-location services and fee structures

FAQ concerning U 1.1. Reporting

FAQ in relation to the acceptability of external experts to exercise the function of internal audit of a supervised entity of the financial sector (only in French)