Search Results for Securities

Information requirements for issuers of securities

Central Securities Depositories (CSDs)

CSSF-IOSCO joint Seminar/Workshop on AML/CFT supervision for the Securities Sector

Press release 19/51

FATF risk-based approach guidance for the securities sector

Law of 20 May 2021 (only in French)

1. transposing:

a) Directive (EU) 2019/878 of the European Parliament and of the Council of 20 May 2019 amending Directive 2013/36/EU as regards exempted entities, financial holding companies, mixed financial holding companies, remuneration, supervisory measures and powers and capital conservation measures; and

b) Directive (EU) 2019/879 of the European Parliament and of the Council of 20 May 2019 amending Directive 2014/59/EU as regards the loss-absorbing and recapitalisation capacity of credit institutions and investment firms and Directive 98/26/EC;

2. implementing Regulation (EU) 2019/876 of the European Parliament and of the Council of 20 May 2019 amending Regulation (EU) No 575/2013 as regards the leverage ratio, the net stable funding ratio, requirements for own funds and eligible liabilities, counterparty credit risk, market risk, exposures to central counterparties, exposures to collective investment undertakings, large exposures, reporting and disclosure requirements, and Regulation (EU) No 648/2012; and

3. amending:

a) the Law of 5 April 1993 on the financial sector, as amended;

b) the Law of 18 December 2015 on the failure of credit institutions and certain investment firms, as amended;

c) the Law of 24 March 1989 on the Banque et Caisse d’Epargne de l’Etat, Luxembourg, as amended;

d) the Law of 23 December 1998 establishing a financial sector supervisory commission (“Commission de surveillance du secteur financier”), as amended;

e) the Law of 12 November 2004 on the fight against money laundering and terrorist financing, as amended;

f) the Law of 10 November 2009 on payment services, on the activity of electronic money institution and settlement finality in payment and securities settlement systems, as amended; and

g) the Law of 7 December 2015 on the insurance sector, as amended.

Directive 2013/50/EU of the European Parliament and of the Council of 22 October 2013

amending Directive 2004/109/EC of the European Parliament and of the Council on the harmonisation of transparency requirements in relation to information about issuers whose securities are admitted to trading on a regulated market, Directive 2003/71/EC of the European Parliament and of the Council on the prospectus to be published when securities are offered to the public or admitted to trading and Commission Directive 2007/14/EC laying down detailed rules for the implementation of certain provisions of Directive 2004/109/EC

Law of 16 July 2019

on prospectuses for securities

Grand-ducal Regulation of 11 January 2008 (coordinated version)

on transparency requirements for issuers of securities

Regulation (EU) 2021/337 of the European Parliament and of the Council of 16 February 2021

amending Regulation (EU) 2017/1129 as regards the EU Recovery prospectus and targeted adjustments for financial intermediaries and Directive 2004/109/EC as regards the use of the single electronic reporting format for annual financial reports, to support the recovery from the COVID-19 crisis (Text with EEA relevance)

Supervision of CSDs

Authorisation procedure for CSDs

Prospectus III: User guide for submission of final terms

Circular CSSF 08/349 (as amended by Circular CSSF 16/638)

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 08/337 (as amended by Circulars CSSF 12/542, CSSF 16/637 and 18/679)

Law of 11 January 2008 and Grand-ducal Regulation of 11 January 2008 on transparency requirements for issuers, as amended

Law of 11 January 2008 (coordinated version)

on transparency requirements for issuers

FAQ published by the CSSF: The Transparency Law and the Grand-ducal transparency Regulation

Questions and Answers regarding the Transparency Directive

ESMA31-67-127

Squeeze-out and sell-out

Enforcement of financial information

Takeover bids