CSSF Regulation No 22-04 of 20 July 2022 amending third-country equivalence rules for investment services

CSSF REGULATION NO 22-04 OF 20 JULY 2022 1/4 CSSF Regulation No 22-04 of 20 July 2022 amending CSSF Regulation No 20-02 of 29 June 2020 on the equivalence of certain third countries with respect to supervision and authorisation rules for the purpose of providing investment services or performing investment activities and ancillary services by third-country firms, as amended by CSSF Regulation No 20-09 of 14 December 2020

CSSF REGULATION NO 22-04 OF 20 JULY 2022 2/4 CSSF Regulation No 22-04 of 20 July 2022 amending CSSF Regulation No 20-02 of 29 June 2020 on the equivalence of certain third countries with respect to supervision and authorisation rules for the purpose of providing investment services or performing investment activities and ancillary services by third-country firms, as amended by CSSF Regulation No 20-09 of 14 December 2020 (Mém. A 2022, No 382) The Executive Board of the Commission de Surveillance du Secteur Financier, Having regard to Article 108a of the Constitution; Having regard to the Law of 23 December 1998 establishing a financial sector supervisory commission (“Commission de surveillance du secteur financier”), as amended, and in particular Article 9(2) thereof; Having regard to the Law of 5 April 1993 on the financial sector, as amended, and in particular the second subparagraph of Article 32-1(1) thereof; Having regard to Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU; Having regard to Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012, and in particular the fifth subparagraph of Article 46(4) thereof; Having regard to the opinion of the Consultative Committee for Prudential Regulation; Decides: Article 1 Amendments to CSSF Regulation No 20-02 of 29 June 2020 on the equivalence of certain third countries with respect to supervision and authorisation rules for the purposes of providing investment services or performing investment activities and ancillary services by third-country firms The Annex “LIST OF THIRD COUNTRIES AND TERRITORIES ESTABLISHED FOR THE PURPOSES OF ARTICLE 2” of CSSF Regulation No 20-02 shall be amended with the addition of the following points (8) and (9): “8) People’s Republic of China 9) Australia” In case of discrepancies between the French and the English texts, the French text shall prevail.

CSSF REGULATION NO 22-04 OF 20 JULY 2022 3/4 Article 2 Date of entry into force This Regulation shall enter into force on 20 July 2022. Article 3 Publication This Regulation shall be published in the Journal officiel du Grand-Duché de Luxembourg and on the website of the Commission de Surveillance du Secteur Financier. Luxembourg, 20 July 2022 Commission de Surveillance du Secteur Financier Claude WAMPACH Director Marco ZWICK Director Jean-Pierre FABER Director Françoise KAUTHEN Director Claude MARX Director General

CSSF REGULATION NO 2 2 -04 OF 20 JULY 2022 4 / 4 Commission de Surveillance du Secteur Financier 283, route d’Arlon L-2991 Luxembourg (+352) 26 25 1

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