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Circulars AIF & AIFM

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03 Jul. 2018
C273 Management Companies regarding RBS-F - Electronic submission of 2017 information
01 Jun. 2018
C270 - ESMA Guidelines on stress tests scenarios under Article 28 of the MMF Regulation
09 May. 2018
C266 – Specially Designated Nationals List Update
20 Apr. 2018
C264 UCITS M.C., AIFs, AIFLNPs - Quarterly statistic Form
03 Apr. 2018
C262 CIFs, AIFMs, AIFs, AIFLNPs - Online FCA survey for entities that have inbound passports to the UK
23 Feb. 2018
C260 CIFs, ASPs, UCITS, UCITS MC, AIFMs, AIFs, AIFLNPs - Common and recurring weaknesses and/or deficiencies and best practice standards identified during the onsite inspections performed in relation to the prevention of money laundering and terrorist financing
05 Feb. 2018
C255 CIFs, ASPs, UCITS, UCITS MC, AIFMs, AIFs, AIFLNPs - Findings of the assessment of Compliance Officers’ Annual Reports and the Internal Audit Reports on the prevention of money laundering and terrorist financing
10 Jan. 2018
C254 AIFM, UCITS MC - Submission of Documents via CySEC Portal
22 Dec. 2017
C252 Regulated Entities - ESAs Risk Based Supervision Guidelines
11 Oct. 2017
C243 CIFs, UCITS, UCITS M.C., AIFs, AIFMs, Non-financial Counterparties - New amendments in the European regulatory framework governing the Over the Counter Derivatives, Central Counterparties and Trade Repositories – European Regulation (EU) No 648/2012 ('EMIR')
15 Sep. 2017
C236 CIFs, UCITS M.C., AIFMs - Product Governance requirements under MiFID II
14 Jul. 2017
C224 CIFs, ASPs, UCITS , UCITS M.C., AIFMs, AIFs, AIFLNPs - Automatic Exchange of Financial Account Information under the Common Reporting Standard Regime ('CRS') developed by the Organisation for Economic Co-Operation & Development ('OECD')
05 Jul. 2017
C219 CIF, ASP, UCITS, UCITS MC, AIFM, AIF, AIFLNP - ESAs Guidelines on anti-money laundering and countering the financing of terrorism – ‘The Risk Factors Guidelines’
05 Jul. 2017
C 218 - Consultation Paper on regulatory technical standards to strengthen group-wide money laundering and terrorist financing risk management (EBA, EIOPA and ESMA – ‘ESAs’)
12 Jun. 2017
C215 M.C. UCITS, AIF, AIFLNP regarding RBS-F - Electronic submission of 2016 information
28 Apr. 2017
C205 CIFs, ASPs, UCITS, UCITS MC, AIFMs, AIFs, AIFLNPs - Consultation Paper on draft Guidelines to prevent terrorist financing and money laundering in electronic fund transfers - Joint Committee of the three European Supervisory Authorities (EBA, EIOPA and ESMA - 'ESAs')
03 Apr. 2017
C197 CIFs, ASPs, UCITS, UCITS MC, AIFMs, AIFs, AIFLNPs - ESAs Joint Opinion on the risks of money laundering and terrorist financing affecting the Union’s financial sector
31 Mar. 2017
C196 CIFs, ASPs, UCITS, UCITS MC, AIFMs, AIFs, AIFLNPs - Article 68C of the Prevention and Suppressi
01 Mar. 2017
C191 CIF, ASP, M.C. UCITS, UCITS, AIF, AIFM - Compliance with reporting and other obligations
22 Feb. 2017
C189 CIFs, ASPs, UCITS, UCITS Μ.C., AIFMs, AIFs, AIFLNPs - Findings of the assessment of the Complia
14 Feb. 2017
C186 CIFs, UCITS, M.C. UCITS, AIFs, AIFMs, ASPs, AIFLNPs - Executive Summary in the Compliance Officer’s Annual Report and the Internal Audit Report on the prevention of money laundering and terrorist financing
09 Feb. 2017
C184 CIFs, UCITS, AIFM - Executive Summary in the reports of the Compliance, Risk Management and Internal Audit Functions
20 Jan. 2017
C178 AIFLNP, AIFLNP MANAGERS – Submission of annual report of the AIFLNP
13 Dec. 2016
C174 AIFMs – guidelines on sound remuneration policies
22 Sep. 2016
C161 CIFs, UCITS, AIFMs - Data collection exercise by the European Banking Authority for the potential reform of prudential requirements applicable to MiFID investment firms and firms providing services under MiFID
Displaying results 201-225 (of 252)
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