July-August 2021
CACEIS Regulatory Watch Newsletter
EUROPEAN UNION
- MARKET ABUSE DIRECTIVE & REGULATION (MAD / MAR)
- MARKETS IN FINANCIAL INSTRUMENTS DIRECTIVE AND REGULATION (MIFID II / MIFIR)
- PACKAGED RETAIL AND INSURANCE-BASED INVESTMENT PRODUCTS (PRIIPS)
- PROSPECTUS REGULATION
- PRUDENTIAL REQUIREMENTS FOR INVESTMENT FIRMS DIRECTIVE & REGULATION (IFD / IFR)
- REGULATION ON A PILOT REGIME FOR MARKET INFRASTRUCTURES BASED ON DISTRIBUTED LEDGER TECHNOLOGY (DLT REGULATION)
- ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
- BENCHMARKS REGULATION (BMR)
- CENTRAL SECURITES DEPOSITARY REGULATION (CSDR)
- EUROPEAN MARKET INFRASTRUCTURE REGULATION (EMIR)
- GOVERNANCE
- INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT
FRANCE
- ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
- CAPITAL REQUIREMENTS / CRD / CRR / BASEL III/IV
- COVID-19 REGULATORY MEASURES
- DIRECTIVE OF COVERED BONDS
- INFORMATION TECHNOLOGY (IT) / INFORMATION AND COMMUNICATTIONS TECHNLOGY (ICT)
- INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT
- LISTING / TRADING RULES
- MARKET ABUSE DIRECTIVE & REGULATION (MAD / MAR)
- MONEY MARKET FUNDS REGULATION (MMFR)
- PROSPECTUS REGULATION
- PRUDENTIAL REQUIREMENTS FOR INVESTMENT FIRMS DIRECTIVE & REGULATION (IFD / IFR)
- PRUDENTIAL SUPERVISION / SINGLE SUPERVISORY MECHANISM (SSM) / SINGLE RESOLUTION MECHANISM (SRM) / SINGLE RESOLUTION FUND (SFR)
- SECURITIES AND FUTURES ACT
- TRADING RULES
BELGIUM
- ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
- CAPITAL REQUIREMENTS / CRD / CRR / BASEL III/IV
- COVID-19 REGULATORY MEASURES
- FINANCIAL SUPERVISION
- INFORMATION TECHNOLOGY (IT) / INFORMATION AND COMMUNICATTIONS TECHNLOGY (ICT)
- MARKETS IN FINANCIAL INSTRUMENTS DIRECTIVE AND REGULATION (MIFID II / MIFIR)
- MONEY MARKET FUNDS REGULATION (MMFR)
GERMANY
- ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
- CRYPTOASSET / CRYPTOCURRENCY / VIRTUAL CURRENCY
- INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT
- INVESTOR PROTECTION / CONSUMER PROTECTION
- IT OUTSOURCING
- MARKETS IN FINANCIAL INSTRUMENTS DIRECTIVE AND REGULATION (MIFID II / MIFIR)
HONG KONG
- ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
- COVID-19 REGULATORY MEASURES
- FINANCIAL MARKET INFRASTRUCTURE (FMI)
- SUSTAINABLE FINANCE / GREEN FINANCE
IRELAND
- ANTI-COUNTERFEITING MEASURES
- ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
- BENCHMARKS REGULATION (BMR)
- COMPANY LAW
- DATA PROTECTION / GENERAL DATA PROTECTION REGULATION (GDPR) / EPRIVACY REGULATION (EPR)
- DIRECTIVE ON ADMINISTRATIVE COOPERATION IN THE FIELD OF TAXATION (DAC 6)
- FINANCIAL SUPERVISION
- INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT
- MARKET ABUSE DIRECTIVE & REGULATION (MAD / MAR)
- PRUDENTIAL REQUIREMENTS FOR INVESTMENT FIRMS DIRECTIVE & REGULATION (IFD / IFR)
- SUSTAINABLE FINANCE / GREEN FINANCE
ITALY
- FINANCIAL SUPERVISION
- GOVERNANCE
- INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT
- IT OUTSOURCING
- MARKETS IN FINANCIAL INSTRUMENTS DIRECTIVE AND REGULATION (MIFID II / MIFIR)
LUXEMBOURG
- ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
- BENCHMARKS REGULATION (BMR)
- COVID-19 REGULATORY MEASURES
- EUROPEAN MARKET INFRASTRUCTURE REGULATION (EMIR)
- FINANCIAL SUPERVISION
- INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT
- MARKETS IN FINANCIAL INSTRUMENTS DIRECTIVE AND REGULATION (MIFID II / MIFIR)
- MONEY MARKET FUNDS REGULATION (MMFR)
- OUTSOURCING ARRANGEMENTS
- SUSTAINABLE FINANCE / GREEN FINANCE
SWITZERLAND
- ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
- BLOCKCHAIN / DISTRIBUTED LEDGER TECHNOLOGY (DLT)
- DATA PROTECTION / GENERAL DATA PROTECTION REGULATION (GDPR) / EPRIVACY REGULATION (EPR)
- DERIVATIVE FINANCIAL INSTRUMENTS (DERIVATIVES)
- FINANCIAL SUPERVISION
- INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT
- SUSTAINABLE FINANCE / GREEN FINANCE
- SWISS FINANCIAL INSTITUTIONS ACT (FINIA)
NETHERLANDS
- ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
- INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT
- OUTSOURCING
- PRUDENTIAL REQUIREMENTS FOR INVESTMENT FIRMS DIRECTIVE & REGULATION (IFD / IFR)
SPAIN
- BREXIT
- DIVIDEND DISTRIBUTION
UNITED KINGDOM
- ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
- BENCHMARKS REGULATION (BMR)
- DIRECTIVE ON THE PROTECTION OF PERSONS WHO REPORT BREACHES OF UNION LAW (WHISTLEBLOWERS DIRECTIVE)
- EUROPEAN MARKET INFRASTRUCTURE REGULATION (EMIR)
- FINANCIAL SUPERVISION
- GOVERNANCE
- 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)
- SUSTAINABLE FINANCE / GREEN FINANCE
BRAZIL
- ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
- FINANCIAL MARKET INFRASTRUCTURE (FMI)
- FINANCIAL REPORTING
- FINANCIAL SERVICES INTERMEDIARIES
- FINANCIAL SUPERVISION
- INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT
- LISTING / TRADING RULES
- SECURITIES TRADING
COLOMBIA
- BLOCKCHAIN / DISTRIBUTED LEDGER TECHNOLOGY (DLT)
UNITED STATES
- BENCHMARKS
- SECURITIES AND FUTURES ACT
INTERNATIONAL
- ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
- OVER-THE-COUNTER DERIVATIVES (OTC)
