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

November 2020

CACEIS Regulatory Watch Newsletter

EUROPEAN UNION

ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
BREXIT
CAPITAL MARKETS UNION (CMU) ACTION PLAN
CENTRAL SECURITIES DEPOSITARY REGULATION (CSDR)
COVID-19 REGULATORY MEASURES
CYBERSECURITY
DATA PROTECTION / GENERAL DATA PROTECTION REGULATION (GDPR) / EPRIVACY REGULATION (EPR)
DIRECTIVE ON ADMINISTRATIVE COOPERATION IN THE FIELD OF TAXATION (DAC 6)
EUROPEAN MARKET INFRASTRUCTURE REGULATION (EMIR)
FINANCIAL SUPERVISION
INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT
LEGAL ENTITY IDENTIFIER (LEI) / UNIQUE PRODUCT IDENTIFIER (UPI)
MARKETS IN FINANCIAL INSTRUMENTS DIRECTIVE AND REGULATION (MIFID II / MIFIR)
PROSPECTUS REGULATION
REGULATION ON SHORT SELLING AND CERTAINS ASPECTS OF CREDIT DEFAULT SWAPS
SECURITIES FINANCING TRANSACTIONS REGULATION (SFTR)
SUSTAINABLE FINANCE / GREEN FINANCE
TRANSPARENCY DIRECTIVE

BELGIUM

INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT
MARKETS IN FINANCIAL INSTRUMENTS DIRECTIVE AND REGULATION (MIFID II / MIFIR)
PROSPECTUS REGULATION

FRANCE

ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
COVID-19 REGULATORY MEASURES
FINANCIAL MARKET AMEDMENT LAW
INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT
LISTING / TRADING RULES
OUTSOURCING
PROSPECTUS REGULATION

GERMANY

ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
BREXIT
INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT

HONG KONG

CYBERSECURITY
FINANCIAL MARKETS INFRASTRUCTURE (FMI)
FINANCIAL REPORTING
FINTECH / REGTECH / BIGTECH / SUPTECH / DIGITAL ECONOMY
FINANCIAL SUPERVISION
INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT

IRELAND

ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
BREXIT
COVID-19 REGULATORY MEASURES
GOVERNANCE
INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT

ITALY

ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
BREXIT
COVID-19 REGULATORY MEASURES
EUROPEAN MARKET INFRASTRUCTURE REGULATION (EMIR)
FINANCIAL REPORTING
GOVERNANCE
LISTING / TRADING RULES
REPORTING

LUXEMBOURG

ACCOUNTING
ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
BANK RECOVERY AND RESOLUTION DIRECTIVE (BRRD)
BREXIT
COVID-19 REGULATORY MEASURES
DATA PROTECTION / GENERAL DATA PROTECTION REGULATION (GDPR) / EPRIVACY REGULATION (EPR)
INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT
PROFESSIONAL OF THE FINANCIAL SECTOR (PSF)
PRUDENTIAL REQUIREMENTS FOR INVESTMENT FIRMS DIRECTIVE AND REGULATION (IFD / IFR)
SUSTAINABLE FINANCE / GREEN FINANCE

NETHERLANDS

ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
BENCHMARKS REGULATION (BMR)
CRYPTOASSETS / CRYPTOCURRENCIES / VIRTUAL CURRENCIES
FINANCIAL MARKET AMENDMENT LAW
FINANCIAL SUPERVISION
OUTSOURCING
PENSION SCHEMES
PRUDENTIAL REQUIREMENTS FOR INVESTMENT FIRMS DIRECTIVE AND REGULATION (IFD / IFR)

SWITZERLAND

COVID-19 REGULATORY MEASURES
FINANCIAL MARKET AMENDMENT LAW
FINANCIAL MARKETS INFRASTRUCTURE (FMI)
FINANCIAL SUPERVISION
INFORMATION TECHNOLOGY (IT) / INFORMATION AND COMMUNICATIONS TECHNOLOGY (ICT)
MACRO-PRUDENTIAL FRAMEWORK
OUTSOURCING ARRANGEMENTS
REFORM OF THE AUDIT MARKET
SUSTAINABLE FINANCE / GREEN FINANCE
SWISS FINANCIAL INSTITUTIONS ACT (FINIA)
WITHHOLDING TAX

UNITED KINGDOM

ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML / CFT)
BENCHMARKS REGULATION (BMR)
BREXIT
COVID-19 REGULATORY MEASURES
DATA PROTECTION / GENERAL DATA PROTECTION REGULATION (GDPR) / EPRIVACY REGULATION (EPR)
DIRECTIVE ON SECURITY OF NETWORK AND INFORMATION SYSTEMS (NIS DIRECTIVE)
EUROPEAN MARKET INFRASTRUCTURE REGULATION (EMIR)
FINANCIAL SUPERVISION
INVESTMENT FUNDS / COLLECTIVE INVESTMENT SCHEMES (CIS) / ASSET MANAGEMENT
SHAREHOLDERS4 RIGHTS DIRECTIVE (SRD II)
SUSTAINABLE FINANCE / GREEN FINANCE

INTERNATIONAL