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C444 - ESMA Guidelines on Reporting under Articles 4 and 12 of Regulation (EU) 2015/2365 (SFTR) (Ref. ESMA-70-151- 2838)

C444 - ESMA Guidelines on Reporting under Articles 4 and 12 of Regulation (EU) 2015/2365 (SFTR) (Ref. ESMA-70-151- 2838)

14 May 2021

C445 - Extension of reporting/notification deadlines

C445 - Extension of reporting/notification deadlines

26 April 2021

C437 - Common weaknesses/deficiencies and good practices identified during the onsite inspections performed in relation to the prevention of money laundering and terrorist financing

C437 - Common weaknesses/deficiencies and good practices identified during the onsite inspections performed in relation to the prevention of money laundering and terrorist financing

21 April 2021

C436 - Findings of the assessment of Compliance Officers’ Annual Reports and the Internal Audit Reports on the prevention of money laundering and terrorist financing

C436 - Findings of the assessment of Compliance Officers’ Annual Reports and the Internal Audit Reports on the prevention of money laundering and terrorist financing

21 April 2021

C442 - Updates regarding the new prudential framework for Investment Firms (IFD/IFR) and CySEC’s Data collection exercise

C442 - Updates regarding the new prudential framework for Investment Firms (IFD/IFR) and CySEC’s Data collection exercise

21 April 2021

C441 - Common deficiencies and good practices identified through desk-based reviews regarding certain aspects of the compliance function requirements of the Investment Services and Activities and Regulated Markets Law (‘the Law’)

C441 - Common deficiencies and good practices identified through desk-based reviews regarding certain aspects of the compliance function requirements of the Investment Services and Activities and Regulated Markets Law (‘the Law’)

07 April 2021

C440 - Cyprus Investment Firms – Quarterly Statistics, Form QST-CIF – Revised Form

C440 - Cyprus Investment Firms – Quarterly Statistics, Form QST-CIF – Revised Form

02 April 2021

C435 - Requirements of the Czech National Bank (the ‘CNB’) regarding the provision of investment services/activities in the territory of Czech Republic

C435 - Requirements of the Czech National Bank (the ‘CNB’) regarding the provision of investment services/activities in the territory of Czech Republic

24 March 2021

C433 - Requirements of the Portuguese Securities and Exchange Commission (the ‘CMVM’) regarding the appointment of tied agents in the territory of Portugal

C433 - Requirements of the Portuguese Securities and Exchange Commission (the ‘CMVM’) regarding the appointment of tied agents in the territory of Portugal

16 March 2021

C432 - Opinion of the European Banking Authority on the risks of money laundering and terrorist financing affecting the European Union’s financial sector

C432 - Opinion of the European Banking Authority on the risks of money laundering and terrorist financing affecting the European Union’s financial sector

16 March 2021

C431 - ESMA launches a Common Supervisory Approach with NCAs on MiFID II Product Governance rules

C431 - ESMA launches a Common Supervisory Approach with NCAs on MiFID II Product Governance rules

10 March 2021

C430 - Requirements of the Portuguese Securities and Exchange Commission (‘the CMVM’) regarding the promotion, distribution and marketing of PRIIPs in the territory of Portugal

C430 - Requirements of the Portuguese Securities and Exchange Commission (‘the CMVM’) regarding the promotion, distribution and marketing of PRIIPs in the territory of Portugal

10 March 2021

C427 - Regarding the extension of deadlines for the submission of the Internal Auditor’s Annual Report, the AMLCO’s Annual Report and the Form of the Monthly Prevention Statement - AML/CFT Directive

C427 - Regarding the extension of deadlines for the submission of the Internal Auditor’s Annual Report, the AMLCO’s Annual Report and the Form of the Monthly Prevention Statement - AML/CFT Directive

12 February 2021

C426 - Updates for the new prudential framework of Investment Firms (IFD/IFR)

C426 - Updates for the new prudential framework of Investment Firms (IFD/IFR)

02 February 2021

C425 - Recommendation 2020/15 of the European Systemic Risk Board (ESRB) on restriction of distributions during the COVID-19 pandemic (the ‘Recommendation ESRB/2020/15’), amending Recommendation ESRB/2020/07 (the ‘Recommendation ESRB/2020/07’)

C425 - Recommendation 2020/15 of the European Systemic Risk Board (ESRB) on restriction of distributions during the COVID-19 pandemic (the ‘Recommendation ESRB/2020/15’), amending Recommendation ESRB/2020/07 (the ‘Recommendation ESRB/2020/07’)

02 February 2021

C424 - Requirements of the Spanish Securities and Exchange Commission (‘the CNMV’) regarding the provision of investment services and/or the performance of investment activities in the territory of Spain

C424 - Requirements of the Spanish Securities and Exchange Commission (‘the CNMV’) regarding the provision of investment services and/or the performance of investment activities in the territory of Spain

21 January 2021

C419 - Regulation (EU) No 2017/2402 on creating a single framework for simple, transparent and standarised securitisation

C419 - Regulation (EU) No 2017/2402 on creating a single framework for simple, transparent and standarised securitisation

02 December 2020

C418 - Enhancement of procedures regarding safeguarding of client funds held by CIFs

C418 - Enhancement of procedures regarding safeguarding of client funds held by CIFs

27 November 2020

C417 - Prudential treatment of crypto assets and enhancement of risk management procedures associated with crypto assets

C417 - Prudential treatment of crypto assets and enhancement of risk management procedures associated with crypto assets

25 November 2020

C416 - Business relationship with persons who have acquired Cypriot citizenship under the Cyprus Investment Program (CIP)

C416 - Business relationship with persons who have acquired Cypriot citizenship under the Cyprus Investment Program (CIP)

10 November 2020

C412 - UK Temporary Permission Regime (Reminder)

C412 - UK Temporary Permission Regime (Reminder)

06 November 2020

C414 - Recommendation 2020/6 of the European Systemic Risk Board (ESRB) on liquidity risks arising from margin calls (the ‘Recommendation ESRB/2020/06’)

C414 - Recommendation 2020/6 of the European Systemic Risk Board (ESRB) on liquidity risks arising from margin calls (the ‘Recommendation ESRB/2020/06’)

06 November 2020

C415 - Recommendation 2020/12 of the European Systemic Risk Board (ESRB) on identifying legal entities (LEI) (the ‘Recommendation ESRB/2020/12’)

C415 - Recommendation 2020/12 of the European Systemic Risk Board (ESRB) on identifying legal entities (LEI) (the ‘Recommendation ESRB/2020/12’)

06 November 2020

C413 - Reporting under Article 9 of Regulation EU 648/2012 as amended (‘EMIR’) – Wind down of CME Trade Repository Ltd (‘CME’)

C413 - Reporting under Article 9 of Regulation EU 648/2012 as amended (‘EMIR’) – Wind down of CME Trade Repository Ltd (‘CME’)

05 November 2020

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