Regulatory framework

Specifications regarding CSSF Regulation N° 16-07 of 26 October 2016 relating to out-of-court complaint resolution

ESMA Guidelines for the assessment of knowledge and competence in the framework of Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU (“MiFID II”) – criteria regarding external training on knowledge and competence

supplementing Regulation (EU) 2016/1011 of the European Parliament and of the Council with regard to the establishment of the conditions to assess the impact resulting from the cessation of or change to existing benchmarks (Text with EEA relevance)

supplementing Regulation (EU) 2016/1011 of the European Parliament and of the Council specifying how the nominal amount of financial instruments other than derivatives, the notional amount of derivatives and the net asset value of investment funds are to be assessed (Text with EEA relevance)

supplementing Regulation (EU) 2016/1011 of the European Parliament and of the Council specifying technical elements of the definitions laid down in paragraph 1 of Article 3 of the Regulation (Text with EEA relevance)

supplementing Regulation (EU) 2016/1011 of the European Parliament and of the Council with regard to specifying how the criteria of Article 20(1)(c)(iii) are to be applied for assessing whether certain events would result in significant and adverse impacts on market integrity, financial stability, consumers, the real economy or the financing of households and businesses in one or more Member States (Text with EEA relevance)

concerning restrictive measures in view of the situation in Mali

ESMA70-154-271

Adoption of the Joint Guidelines of ESMA, EBA and EIOPA on the prudential assessment of acquisitions and increases of qualifying holdings in the financial sector (JC/GL/2016/01 of 20 December 2016) and repeal of Circular CSSF 09/392

on the setting of the countercyclical buffer rate for the fourth quarter of 2017

supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards on indirect clearing arrangements

concerning restrictive measures against the Democratic People’s Republic of Korea and repealing Regulation (EC) No 329/2007

ESMA Guidelines on calibration of circuit breakers and publication of trading halts under Directive 2014/65/EU (MiFID II) and details on reporting of circuit breakers’ parameters

ESMA Guidelines on Central Securities Depositories (CSD) participant default rules and procedures

ESMA Guidelines on the access by a Central Securities Depository (CSD) to the transaction feeds of Central Counterparties (CCPs) and trading venues

supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to package orders