Regulatory framework

EBA Guidelines for the identification of G-SIIs

EBA/GL/2016/01

EBA Technical standards for the identification G-SIIs

CSSF Regulation No 15-07

laying down detailed rules for the application of Article 42a of the Law of 13 February 2007 relating to specialised investment funds as regards the requirements in relation to risk management and conflicts of interest for specialised investment funds which are not referred to in the specific provisions of Part II of that law

CSSF Regulation No 15-08

laying down detailed rules for the application of Article 7a of the Law of 15 June 2004 relating to the Investment company in risk capital (SICAR) as regards the requirements in relation to the management of conflicts of interest for SICARs which are not referred to in the specific provisions of Part II of that law

Circular CSSF 15/633

Financial information to be provided by investment fund managers and their branches on a quarterly basis

Circular CSSF 15/631

Dormant or inactive accounts

Grand-ducal Regulation of 18 December 2015

implementing Article 1(5) of Regulation (EU) 2015/751 of the European Parliament and of the Council of 29 April 2015 on interchange fees for card-based payment transactions

Law of 18 December 2015 (coordinated version)

on the failure of credit institutions and certain investment firms

Law of 18 December 2015

approving the agreement on the transfer and mutualisation of contributions to the Single Resolution Fund signed in Brussels on 21 May 2014

Commission Delegated Regulation (EU) 2016/522 of 17 December 2015

supplementing Regulation (EU) No 596/2014 of the European Parliament and of the Council as regards an exemption for certain third countries public bodies and central banks, the indicators of market manipulation, the disclosure thresholds, the competent authority for notifications of delays, the permission for trading during closed periods and types of notifiable managers’ transactions

Commission Delegated Regulation (EU) 2017/747 of 17 December 2015

supplementing Regulation (EU) No 806/2014 of the European Parliament and the Council with regard to the criteria relating to the calculation of ex ante contributions, and on the circumstances and conditions under which the payment of extraordinary ex post contributions may be partially or entirely deferred

Resolution 2253 (2015)

Expands the listing criteria to include individuals and entities supporting the Islamic State in Iraq and the Levant (ISIL, also known as Da’esh). Directs the Monitoring Team to submit reports on the global threat posed by ISIL (Da’esh), Al-Qaida, and associated individuals, groups, undertakings, and entities. Encourages all Member States to (a) designate national focal points on issues related to the implementation of the measures described in the resolution, (b) report to the Committee on obstacles to the implementation of the measures described in the resolution; also, calls upon all States to submit an updated report to the Committee no later than 120 days from the adoption of the resolution. Extends the mandates of the Monitoring Team and the Office of the Ombudsperson to December 2019.

Commission Implementing Directive (EU) 2015/2392 of 17 December 2015

on Regulation (EU) No 596/2014 of the European Parliament and of the Council as regards reporting to competent authorities of actual or potential infringements of that Regulation

ESRB Recommendation on the assessment of cross-border effects of and voluntary reciprocity for macroprudential policy measures

ESRB/2015/2

Commission Delegated Regulation (EU) 2016/1434 of 14 December 2015

correcting Delegated Regulation (EU) 2015/63 supplementing Directive 2014/59/EU of the European Parliament and of the Council with regard to ex ante contributions to resolution financing arrangements

Commission Delegated Regulation (EU) 2016/451 of 16 December 2015

laying down general principles and criteria for the investment strategy and rules for the administration of the Single Resolution Fund

Circular CSSF 15/628

National resolution fund – Information on/announcement of raising 2015 ex-ante contributions according to Articles 4, 13 and 20 of the Commission Delegated Regulation (EU) 2015/63

ESRB Recommendation on recognising and setting countercyclical buffer rates for exposures to third countries

ESRB/2015/1

Circular CSSF 15/629 (as amended by Circular CSSF 16/641)

Supplementary supervision to be applied to financial conglomerates and definition of structure coefficients to be observed by the regulated entities belonging to these financial conglomerates pursuant to Article 56 of the Law of 5 April 1993 on the financial sector, as amended

Circular CSSF 15/627

New monthly reporting for the CSSF – U 1.1 reporting