March 2021
CACEIS Regulatory Watch Newsletter
EUROPEAN UNION
- ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
- CAPITAL MARKETS UNION (CMU) ACTION PLAN
- CENTRAL SECURITIES DEPOSITARY REGULATION (CSDR)
- COVID-19 REGULATORY MEASURES
- EUROPEAN MARKET INFRASTRUCTURE REGULATION (EMIR)
- EUROPEAN SINGLE ACCESS POINT FOR FINANCIAL AND NON-FINANCIAL INFORMATION (ESAP)
- INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT
- MARKETS IN FINANCIAL INSTRUMENTS DIRECTIVE AND REGULATION (MIFID II / MIFIR)
- PROSPECTUS REGULATION
- REGULATION ON A PILOT REGIME FOR MARKET INFRASTRUCTURE BASED ON DISTRIBUTED LEDGER TECHNOLOGY (DLT REGULATION)
- SECURITIES FINANCING TRANSACTIONS REGULATION REGULATION (SFTR)
- SECURITISATION REGULATION
- SUSTAINABLE FINANCE / GREEN FINANCE
FRANCE
- ALTERNATIVE INVESTMENT FUND MANAGERS DIRECTIVE (AIFMD)
- BREXIT
- COVID-19 REGULATORY MEASURES
- EUROPEAN LONG-TERM INVESTMENT FUNDS (ELTIF)
- EUROPEAN SINGLE ELECTRONIC FORMAT (ESEF)
- FINANCIAL SUPERVISION
- INTERNAL CONTROL
- INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT
- MARKETS IN FINANCIAL INSTRUMENTS DIRECTIVE AND REGULATION (MIFID II / MIFIR)
- PROSPECTUS REGULATION
- SECURITISATION REGULATION
- SHAREHOLDERS' RIGHTS DIRECTIVE (SRD II)
- SUSTAINABLE FINANCE / GREEN FINANCE
BELGIUM
- ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
- SUSTAINABLE FINANCE / GREEN FINANCE
GERMANY
- ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
- EUROPEAN CROWDFUNDING SERVICE PROVIDERS (ESCP) REGULATION
- GOVERNANCE
- MARKETS IN FINANCIAL INSTRUMENTS DIRECTIVE AND REGULATION (MIFID II / MIFIR)
HONG KONG
- FINANCIAL SUPERVISION
- LISTING / TRADING RULES
IRELAND
- ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
- BREXIT
- COVID-19 REGULATORY MEASURES
- DIRECTIVE ON ADMINISTRATIVE COOPERATION IN THE FIELD OF TAXATION (DAC 6)
- FINANCIAL SUPERVISION
- FRAUD
- SUSTAINABLE FINANCE / GREEN FINANCE
ITALY
- ACCOUNTING
- GOVERNANCE
- PENSION FUNDS
- SUSTAINABLE FINANCE
- SUSTAINABLE FINANCE / GREEN FINANCE
- TRADING RULES
LUXEMBOURG
- ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
- AUDIT MATTER
- CYBERSECURITY
- INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT
- PROSPECTUS REGULATION
- SUSTAINABLE FINANCE / GREEN FINANCE
SWITZERLAND
- ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
- AUDIT MATTER
- BANKING SUPERVISION
- DATA PROTECTION / GENERAL DATA PROTECTION REGULATION (GDPR) / EPRIVACY REGULATION
- FINANCIAL REPORTING
- FINANCIAL SUPERVISION
NETHERLANDS
- FINANCIAL SUPERVISION
- SUSTAINABLE FINANCE / GREEN FINANCE
SPAIN
- COVID-19 REGULATORY MEASURES
- SUPERVISION
UNITED KINGDOM
- ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
- BREXIT
- EUROPEAN MARKET INFRASTRUCTURE REGULATION (EMIR)
- FINANCIAL SUPERVISION
- INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT
- INVESTOR PROTECTION / CONSUMER PROTECTION
- LISTING / TRADING RULES
- MARKETS IN FINANCIAL INSTRUMENTS DIRECTIVE AND REGULATION (MIFID II / MIFIR)
- PRUDENTIAL REQUIREMENTS FOR INVESTMENT FIRMS DIRECTIVE & REGULATION (IFD / IFR)
- TRADING RULES
INTERNATIONAL
- ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
- DERIVATIVE FINANCIAL INSTRUMENTS (DERIVATIVES)
- DODD-FRANCK
- FINANCIAL SUPERVISION
- STRESS TEST
- SUSTAINABLE FINANCE / GREEN FINANCE
