RegAlert2019-11-27
Added
Directive (EU) 2019/2034 of the European Parliament and of the Council of 27 November 2019 on the prudential supervision of investment firms and amending Directives 2002/87/EC, 2009/65/EC, 2011/61/EU, 2013/36/EU, 2014/59/EU and 2014/65/EU (Text with EEA relevance)
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- Amended by
- Directive (EU) 2024/2994 of the European Parliament and of the Council of 27 November 2024 amending Directives 2009/65/EC, 2013/36/EU and (EU) 2019/2034 as regards the treatment of concentration risk arising from exposures towards central counterparties and of counterparty risk in centrally cleared derivative transactions (Text with EEA relevance)2024
- Amends
- Directive 2014/59/EU of the European Parliament and of the Council of 15 May 2014 establishing a framework for the recovery and resolution of credit institutions and investment firms and amending Council Directive 82/891/EEC, and Directives 2001/24/EC, 2002/47/EC, 2004/25/EC, 2005/56/EC, 2007/36/EC, 2011/35/EU, 2012/30/EU and 2013/36/EU, and Regulations (EU) No 1093/2010 and (EU) No 648/2012, of the European Parliament and of the Council Text with EEA relevance2014Directive 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 (recast) Text with EEA relevance2014Directive 2013/36/EU of the European Parliament and of the Council of 26 June 2013 on access to the activity of credit institutions and the prudential supervision of credit institutions and investment firms, amending Directive 2002/87/EC and repealing Directives 2006/48/EC and 2006/49/EC Text with EEA relevance2013Directive 2011/61/EU of the European Parliament and of the Council of 8 June 2011 on Alternative Investment Fund Managers and amending Directives 2003/41/EC and 2009/65/EC and Regulations (EC) No 1060/2009 and (EU) No 1095/2010 Text with EEA relevance2011Directive 2009/65/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) (recast) (Text with EEA relevance)2009Directive 2002/87/EC of the European Parliament and of the Council of 16 December 2002 on the supplementary supervision of credit institutions, insurance undertakings and investment firms in a financial conglomerate and amending Council Directives 73/239/EEC, 79/267/EEC, 92/49/EEC, 92/96/EEC, 93/6/EEC and 93/22/EEC, and Directives 98/78/EC and 2000/12/EC of the European Parliament and of the Council2002
- Basis for
- Investment Firms Act (WPFG)2026Technical Advice on the Investment Firms Prudential Framework2025Law 6/2023, of March 17, on Securities Markets and Investment Services2024Instruction 2024-I-09 of June 21, 2024, regarding the withdrawal of approval, authorization, or registration of credit institutions, financing companies, third-party financing companies, investment firms, payment institutions, account information service providers, electronic money institutions, or token issuers referring to one or more assets (repealed)2024Guidelines on the application of the group capital test for investment firm groups2024Executive Order on Investment Firm Companies and Investment Services and Activities2024
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Commission Implementing Regulation (EU) 2022/389 on disclosure standards for competent authorities2023Commission Implementing Regulation (EU) 2023/2526 amending disclosure templates for investment firms2023Royal Decree 813/2023 on the Legal Regime of Investment Service Companies and Other Entities Providing Investment Services2023Royal Decree 815/2023 developing the Securities Markets and Investment Services Law regarding CNMV registers, cooperation, and supervision2023Supervisory disclosure2023CSSF Circular 23/837: Application of EBA Guidelines on Data Collection for High Earners2023Commission Delegated Regulation (EU) 2023/1668 on measurement of uncovered risks and additional own funds for investment firms2023Commission Delegated Regulation (EU) 2023/1651 on regulatory technical standards for specific liquidity measurement of investment firms2023Joint EBA and ESMA Guidelines on common procedures and methodologies for the supervisory review and evaluation process (SREP) under Directive (EU) 2019/20342023Commission Delegated Regulation (EU) 2023/1117 on information exchange between competent authorities for investment firms2023Commission Delegated Regulation (EU) 2023/1118 on regulatory technical standards for colleges of supervisors2023Commission Implementing Regulation (EU) 2023/1119 on standard forms and procedures for information sharing between competent authorities2023Instruction No. 2022-I-20 of December 9, 2022, on the collection of information on remuneration for entities subject to Regulation (EU) 2019/20332022Order on the Management and Control of Credit Institutions and Other Financial Undertakings2022Compliance with EBA Guidelines on internal governance of investment firms (EBA/GL/2021/14)2022Order No. 50 of 30.03.2022 on Capital Adequacy, Liquidity of Investment Intermediaries and Supervision of Compliance2022CSSF Circular 22/797: Application of EBA Guidelines on Sound Remuneration Policies and Repeal of Previous Circulars2022Commission Delegated Regulation (EU) 2021/2154 on criteria to identify staff with material impact on investment firm risk profiles2021Commission Delegated Regulation (EU) 2021/2155 on regulatory technical standards for instruments used in variable remuneration2021Commission Delegated Regulation (EU) 2021/2153 on prudential requirements for certain investment firms2021Order on Remuneration Policy and Pay in Credit Institutions, Mortgage Credit Institutions, Collective Investment Undertakings, AIFMs, and Certain Holding Companies2021Decree of NBS No 4/2015 on Risk Management and Market Interest Rates2015Act No 566/1992 Coll. on Národná banka Slovenska2010Act No 566/1992 Coll. on the National Bank of Slovakia2009Decree of the NBS of 28 October 2008 No 18/2008 on Liquidity of Banks2008Securities Market Act (Värdepappersmarknadslag (2007:528))2007Zákon č. 483/2001 Z. z. o bankách a o zmene a doplnení niektorých zákonov (Act No. 483/2001 Coll. on Banks and on Amendments to Certain Laws)2001Capital Market Act (Official Gazette 65/18, 17/20, 83/21, 85/24, 126/25) – Unofficial Consolidated Text - Referred to by
- Regulation on the Books of Account and Annual Reports of Banks2026Final Report on RTS for CCP Admission Criteria and NFC Clearing Member Assessment2026Order Granting Conditional Substituted Compliance for French Nonbank Swap Dealers Under EU IFR and IFD2026Law on Open-Ended Investment Funds with Public Offer (Official Gazette No. 44/2016, 126/19, 110/21, 76/22, 152/24 and 13/26) - Unofficial Consolidated Text2026Commission Implementing Regulation (EU) 2024/3117 on supervisory reporting of institutions and repealing Regulation (EU) 2021/451 (Consolidated Text)2025Notice 2025 on the Calculation and Publication of Prudential Ratios under CRD4 and MREL Requirements2025
+12 more
CySEC Adoption of EBA Guidelines on Resubmission of Historical Data2025FMA Minimum Standards for Drawing up a Contingency Plan for a Potential Change of Custodian Bank or Depositary2024Guidelines on resubmission of historical data under the EBA reporting framework2024Circular NBB_2024_04 / New governance manual for stockbroking firms2024Commission Implementing Regulation (EU) 2024/796 amending Implementing Regulation (EU) No 650/2014 regarding disclosure by competent authorities2024Final report on Guidelines on the diversity benchmarking exercise2023Instruction No. 2022-I-21 of 9 December 2022 on the collection of information on high remuneration for entities subject to Regulation (EU) 575/2013 and Regulation (EU) 2019/20332022Regulation on the Application of Guidelines on Data Collection Regarding High Earners2022Instruction No. 11/20212021Communication NBB_2021_13 / New reporting frameworks developed by the EBA2021Capital Markets Act (Official Gazette, Nos. 65/18, 17/20, 83/21, 151/22, 85/24 and 126/25) – Unofficial Consolidated TextLaw on Alternative Investment Funds – Unofficial Consolidated Text (NN 21/18, 126/19, 110/21, 83/23, 152/24 and 13/26)
Timeline
Amended 1 time · last 2024-11-27
This document amends: Directive 2014/59/EU of the European Parliament and of the Council of 15 May 2014 establishing a framework for the recovery and resolution of credit institutions and investment firms and amending Council Directive 82/891/EEC, and Directives 2001/24/EC, 2002/47/EC, 2004/25/EC, 2005/56/EC, 2007/36/EC, 2011/35/EU, 2012/30/EU and 2013/36/EU, and Regulations (EU) No 1093/2010 and (EU) No 648/2012, of the European Parliament and of the Council Text with EEA relevance, 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 (recast) Text with EEA relevance, Directive 2013/36/EU of the European Parliament and of the Council of 26 June 2013 on access to the activity of credit institutions and the prudential supervision of credit institutions and investment firms, amending Directive 2002/87/EC and repealing Directives 2006/48/EC and 2006/49/EC Text with EEA relevance, Directive 2011/61/EU of the European Parliament and of the Council of 8 June 2011 on Alternative Investment Fund Managers and amending Directives 2003/41/EC and 2009/65/EC and Regulations (EC) No 1060/2009 and (EU) No 1095/2010 Text with EEA relevance, Directive 2009/65/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) (recast) (Text with EEA relevance), Directive 2002/87/EC of the European Parliament and of the Council of 16 December 2002 on the supplementary supervision of credit institutions, insurance undertakings and investment firms in a financial conglomerate and amending Council Directives 73/239/EEC, 79/267/EEC, 92/49/EEC, 92/96/EEC, 93/6/EEC and 93/22/EEC, and Directives 98/78/EC and 2000/12/EC of the European Parliament and of the Council
Source: European Union — original document · Summary generated with machine assistance and reviewed before publication; the authoritative text is the regulator's original document. How RegAlert works
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