Regulatory environment

Regulatory Watch

The regulatory watch section, published by CACEIS’s experts, provides the essential information on the main National, European and International regulatory developments that impact the activities of our clients, and more broadly the sphere of Asset Servicing.

For each regulation, you will find the main provisions, the key dates, the scope of the application and the related articles.

RegWatch, CACEIS's monthly regulatory monitoring publication, provides a focused overview of regulatory developments in countries where CACEIS is present.

You are a customer and you wish to receive RegWatch? Please send a request to your usual contact at CACEIS.

RegWatch

June 2021

CACEIS Regulatory Watch Newsletter

EUROPEAN UNION

BENCHMARKS REGULATION (BMR)
DATA PROTECTION / GENERAL DATA PROTECTION REGULATION (GDPR) / EPRIVACY REGULATION (EPR)
ELECTRONIC IDENTIFICATION AND TRUST SERVICES FOR ELECTRONIC TRANSACTIONS IN THE INTERNAL MARKET (EIDAS)
INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT
PRUDENTIAL REQUIREMENTS FOR INVESTMENT FIRMS DIRECTIVE & REGULATION (IFD / IFR)
REGULATION ON DIGITAL OPERATIONAL RESILIENCE FOR THE FINANCIAL SECTOR (DORA)
REGULATION ON MARKETS IN CRYPTO-ASSETS (MICA)
SUSTAINABLE FINANCE / GREEN FINANCE

FRANCE

CRYPTOASSET / CRYPTOCURRENCY / VIRTUAL CURRENCY
EUROPEAN CROWDFUNDING SERVICE PROVIDERS (ECSP) REGULATION
FINANCIAL SUPERVISION
INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT
MARKET ABUSE DIRECTIVE & REGULATION (MAD / MAR)
MARKETS IN FINANCIAL INSTRUMENTS DIRECTIVE AND REGULATION (MIFID II / MIFIR)
PRUDENTIAL REQUIREMENTS FOR INVESTMENT FIRMS DIRECTIVE & REGULATION (IFD / IFR)
SECURITIES FINANCING TRANSACTIONS REGULATION (SFTR)

BELGIUM

ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
DIRECTIVE ON DISCLOSURE OF NON-FINANCIAL AND DIVERSITY INFORMATION / NON-FINANCIAL REPORTING
FINANCIAL REPORTING
FINANCIAL SUPERVISION
INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT
SUSTAINABLE FINANCE / GREEN FINANCE

GERMANY

CRYPTOASSET / CRYPTOCURRENCY / VIRTUAL CURRENCY
FINANCIAL SUPERVISION
FINANZMARKTINTEGRITÄTSSTÄRKUNGSGESETZ (FISG)
GOVERNANCE
IT OUTSOURCING
MARKET ABUSE DIRECTIVE & REGULATION (MAD / MAR)
PRUDENTIAL REQUIREMENTS FOR INVESTMENT FIRMS DIRECTIVE & REGULATION (IFD / IFR)
SUSTAINABLE FINANCE / GREEN FINANCE
WHISTLEBLOWER PROTECTION

HONG KONG

CODE OF CONDUCT
COVID-19 REGULATORY MEASURES
FINANCIAL MARKET INFRASTRUCTURE (FMI)
FINANCIAL SUPERVISION
GOVERNANCE
INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT
LISTING / TRADING RULES

IRELAND

ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
GOVERNANCE
INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT
PRUDENTIAL REQUIREMENTS FOR INVESTMENT FIRMS DIRECTIVE & REGULATION (IFD / IFR)

ITALY

ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
GOVERNANCE
TRADING RULES

LUXEMBOURG

ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
COVID-19 REGULATORY MEASURES
EUROPEAN MARKET INFRASTRUCTURE REGULATION (EMIR)
INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT
PROFESSIONALS OF THE FINANCIAL SECTOR (PSF)

SWITZERLAND

BLOCKCHAIN / DISTRIBUTED LEDGER TECHNOLOGY (DLT)
DATA PROTECTION / GENERAL DATA PROTECTION REGULATION (GDPR) / EPRIVACY REGULATION (EPR)
GOVERNANCE
INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT
SUSTAINABLE FINANCE / GREEN FINANCE
SWISS FINANCIAL SERVICES ACT (FINSA)

NETHERLANDS