Source: https://kpmg-lexlinks.de/themen/thema/aufsicht-und-gouvernance.html
Timestamp: 2017-11-22 22:06:06
Document Index: 113887519

Matched Legal Cases: ['Art. 18', 'Art. 2', 'Art. 4', 'Art. 39', 'Art. 104', '§ 25', '§ 2', '§ 1', 'Art. 51', 'Art. 7', 'Art. 12', 'Art. 4', 'Art. 6', 'Art. 4', 'Art. 6', 'Art. 45', 'Art. 8', 'Art. 5', 'Art. 30', 'Art. 91', 'Art. 27', 'Art. 29', 'Art. 7', 'Art. 143']

Aufsicht und Bankenunion
Aufsicht und Bankenunion:
Art. 18(7) CRR Draft RTS on the methods of prudential consolidation
EBA-CRR-2017-20-CP-methods_prudential_consolidation.pdf (09.11.2017)
Art. 2(5), 9(2), Annex I (IV) CRD IV; Art. 4(1) No. (18)(26), CRR EBA Opinion on matters relating to other financial intermediaries and regulatory perimeter issues
EBA-CRDIV-CRR-2017-13-Op_other_financial_intermediaries.pdf (09.11.2017)
Article 6(4) SSM-VO; Art. 39 SSM Rahmen-VO; Art. 104 CRD IV ECB Report: LSI (Less Significant Institutions) supervision within the SSM
ECB-SSM-LSI_supervision.pdf (08.11.2017)
§§ 25a(1), 25b KWG BaFin Rundschreiben 10/2017 (BA) - Bankaufsichtliche Anforderungen an die IT (BAIT)
BaFin-KWG-10-2017-Rundschreiben-BAIT.pdf (06.11.2017)
§ 2(6) S.1 Nr.8 e) KWG; § 1(2) VermAnlG BaFin Merkblatt zur Bereichsausnahme für die Vermittlung von Investmentvermögen und Vermögensanlagen (Bearbeitungsstand 02.11.2017)
Art. 51(3), 116 CRD IV Guidelines on supervision of significant branches
EBA-CRDIV-2017-14-GL-supervision_significant_branches.pdf (01.11.2017)
Art. 7(4) MiFID II Delegierte VO (EU) 2017/1943 vom 14.07.2016 zur Ergänzung der Richtlinie 2014/65/EU RTS Informationen und Anforderungen für die Zulassung von Wertpapierfirmen
EC-MiFIDII-2017-1943-DVO-RTS_Zulassung_Wertpapierfirmen.pdf (26.10.2017)
Art. 12(8) MiFID II Delegierte VO (EU) 2017/1946 vom 11.07.2017 RTS erschöpfende Liste der Informationen, die interessierte Erwerber in die Anzeige des beabsichtigten Erwerbs einer qualifizierten Beteiligung an einer Wertpapierfirma aufnehmen müssen
EC-MiFIDII-2017-1946-DVO-RTS_Informationen_zum_Erwerb_einer_qualifizierten_Beteiligung.pdf (26.10.2017)
Art. 4, 6, 35, 40(1), 42, 43, 44, 48, 49, 50, 53, 63, 70 ESMA; Art. 6(2), 17(3), 18, 19(3), 20(6), 21, 24, 25, 49, 89 EMIR Beschluss Bundesrat zum Vorschlag für eine Verordnung zur Änderung der Verordnung (EU) Nr. 1095/2010 zur Errichtung einer Europäischen Aufsichtsbehörde sowie der Verordnung (EU) Nr. 648/2012 zur Zulassung von CCP
ESMA-EMIR-CP-Vorschlag_Aenderung_ESMA_and_EMIR_Verordnung_BESCHLUSS_BUNDESRAT.pdf (22.09.2017)
Art. 4, 6, 35, 40(1), 42, 43, 44, 48, 49, 50, 53, 63, 70 ESMA; Art. 6(2), 17(3), 18, 19(3), 20(6), 21, 24, 25, 49, 89 EMIR Amendment to Proposal for a Regulation amending Regulation (EU) No 1095/2010 establishing a European Supervisory Authority (ESMA) and amending Regulation (EU) No 648/2012 authorisation of CCPs and requirements for the recognition of third-country CCPs
ESMA-EMIR-CP-Proposol_amending_ESMA_and_EMIR_regulation_AMENDMENT.pdf (20.09.2017)
EC-Proposal_regulation_amending_regulations_EBA_EIOPA_ESMA_MiFIR_ELTIF_BMR_ProspektVO.pdf (20.09.2017)
Art. 45 (17) BRRD Final Report - Draft ITS on procedures and templates for the identification and transmission of information by resolution authorities to the EBA, on minimum requirements for own funds and eligible liabilities
EBA-BRRD-FD-2017-06-ITS_Draft_information_by_resolution_authorities.pdf (05.09.2017)
Art. 8(2)&(3) CRD IV On the information to be provided for the authorisation of credit institutions and on standard forms, templates and procedures for the provision of the information required for the authorisation of credit institutions
EBA-CRDIV-FD-2017-08-RTS-and-2017-05-ITS-information_authorisation_of_credit_institutions.pdf (14.07.2017)
Art. 5(5), 32, 33 PSD2 Final Report on the EBA Guidelines under PSD2 on the information to be provided for the authorisation of payment institutions and e-money institutions and for the registration of account information service providers
EBA-PSD2-2017-09-FD-GL-authorisation_and_registration_as_payment_institution.pdf (11.07.2017)
IOSCO-CPMI-D160-FD-Bericht_OTC_derivatives_data_elements_third_batch.pdf (27.06.2017)
Art. 30(5) BMR Final Draft RTS on cooperation arrangements with third countries under the Benchmarks Regulation
ESMA-BMR-70-145-81-FD-Selection_supervised_entities.pdf (02.06.2017)
BaFin Konsultation 15/2017 (WA) – Änderung des Rundschreibens zur Compliance von Wertpapierfirmen (MaComp) (Bearbeitungsstand 02.11.2017)
Art. 91(12), 100, 107 CRD IV; Art. 27, 32 BRRD Draft Guidelines on the revised common procedures and methodologies for the supervisory review and evaluation process (SREP) and supervisory stress testing
EBA-SREP-2017-18-CP-GL-SREP_supervisory_stress_testing.pdf (31.10.2017)
Art. 29(6) PSD2 Draft RTS on cooperation between competent authorities in the home and host Member States in the supervision of payment institutions operating on a cross-border basis
EBA-PSD2-2017-16-CP-competent_authorities_cooperation_cross-border.pdf (27.10.2017)
Art. 7, 15, 20(11) Prospekt-VO Responses to the consultation on the technical advice under the new prospectus regulation (Bearbeitungsstand 13.10.2017)
Art. 143(3) CRD IV ANNEX I Draft ITS amending Implem. Reg. (EU) No 650/2014 ITS format, structure, contents list and annual publication date of the supervisory information to be disclosed by competent authorities in accordance with Article 143(3) of Directive 2013/36/EU
EBA-CRDIV-2017-14-CP-ITS-amending_ITS_650_2014_supervisory_reporting_ANNEX_I.xlsx (22.09.2017)
FAQ - Consultation on the guide to assessments of licence applications and the guide to assessments of fintech licence applications - FAQ
ECB-guide_licence_application_FAQ.pdf (21.09.2017)
ECB-guide_licence_application_for_fintechs.pdf (21.09.2017)
Guide to assessments of licence applications -Licence applications in general
ECB-guide_licence_application_in_general.pdf (21.09.2017)