Regulatorische Veröffentlichungen für: Andere Finanzintermediäre
Neueste Veröffentlichungen der Finanzaufsichtsbehörden, die Andere Finanzintermediäre betreffen, mit Typ, Auswirkung, Daten und zu prüfenden Punkten.
Neueste Veröffentlichungen
Banco Central do Brasil · Mitteilung · · Mittel
BC - Comunicado N° 46.246 de 06/11/2026
The Banco Central do Brasil published Comunicado No. 46.246 of 6 November 2026 setting out conditions for repurchase agreement (compromissada) operations with financial institutions participating in the Ofpub module. The source text does not provide the detailed conditions, which would need to be read in the full communiqué.
Zu prüfende Punkte
Check whether your institution participates in the Ofpub module and would be affected by the repo conditions.
Review the full text of Comunicado No. 46.246 to confirm the specific conditions.
The FCA has published policy statement PS26/22 setting out final rules and perimeter guidance (PERG) for the regulation of ESG rating providers in the UK, following HM Treasury legislation bringing ESG ratings within the regulatory perimeter. The regime requires ESG rating providers to comply with baseline FCA rules and tailored requirements, and it is relevant to ESG rating providers, users of ESG ratings, rated companies and trade associations.
Daten im Text: 2026-12-07 Policy Statement webinar on the ESG ratings rules · 2027-01-26 Authorisations webinar for ESG ratings (registration opening soon at time of publication) · 2027-02-01 Pre-Application Support Service (PASS) becomes available from February 2027 (exact day not stated) · 2027-06-24 FCA authorisation gateway opens for ESG rating providers · 2028-06-29 New ESG ratings regime comes into effect; authorisation and permission required for ESG rating activity unless an exclusion applies
Zu prüfende Punkte
Check whether your activities could fall within the ESG rating provider perimeter and whether an exclusion applies.
Review the final rules and perimeter guidance in PS26/22.
Consider whether FCA authorisation would be required and plan for the application window opening on 24 June 2027.
Ein Jahr bis zur T+1-Abwicklung: Der regulatorische Rahmen ist vollständig, jetzt geht es um die Umsetzung
ESMA veröffentlicht eine Pressemitteilung, wonach die EU am 11. Oktober 2027 auf die T+1-Abwicklung umstellt und der regulatorische Rahmen für die Umstellung nun vollständig ist. Sie verweist auf die überarbeitete RTS zur Settlement Discipline und die überarbeiteten CSDR-Leitlinien zu standardisierten Verfahren und Nachrichtenprotokollen zwischen Wertpapierfirmen und ihren professionellen Kunden, die Anforderungen an Zuteilungen und Bestätigungen festlegen.
Daten im Text: 2026-12-07 Wertpapierfirmen und ihre Kunden müssen die neuen Anforderungen an Zuteilungen und Bestätigungen erfüllen, einschließlich der verpflichtenden Nutzung elektronischer standardisierter ch · 2027-10-11 Die EU stellt auf T+1-Abwicklung um.
Zu prüfende Punkte
Prüfen, ob die aktuellen Zuteilungs- und Bestätigungsprozesse mit professionellen Kunden die verpflichtenden Anforderungen an elektronische, standardisierte und maschinenlesbare Kommunikation erfüllen, die ab dem 7. Dezember 2026 gelten.
Bereitschaft der Systeme und Prozesse in der gesamten Handels- und Abwicklungskette für die Umstellung auf T+1 am 11. Oktober 2027 bewerten und Tests so früh wie möglich in Betracht ziehen.
The FSA published the results of the public comment on proposed amendments to its comprehensive supervisory guidelines for major banks and related guidelines for small and regional banks, cooperative financial institutions, fishing cooperative credit business, and financial service intermediaries. The amendments clarify measures to prevent user misunderstanding for services provided by banks with other businesses via APIs, and whether acts by other businesses qualify as banking agency (intermediation). The amended guidelines apply from the publication date, 6 November 2026.
Daten im Text: 2026-11-06 Amended supervisory guidelines apply from this date
Zu prüfende Punkte
Check whether services offered with other businesses via API arrangements have measures in place to prevent user misunderstanding, as required by the amended guidelines.
Review whether acts of other businesses in such arrangements may constitute banking agency (intermediation) under the amended text.
Review the relevant redline comparison annexes for the guideline sections applicable to your licence category.
PS26/21: Streamlining the UK EMIR Intragroup Regime
The FCA published Policy Statement PS26/21 setting out final Binding Technical Standards and revocation of certain EMIR Q&As to implement the Treasury's reform of the UK EMIR intragroup regime. It concerns UK EMIR counterparties subject to clearing and margin requirements, as well as industry associations, law firms and consultants.
Daten im Text: 2026-12-05 Recommended last date to submit notifications for new intragroup margin or clearing exemptions under the current process. · 2026-12-31 Temporary Intragroup Exemption Regime (TIGER) expires. · 2027-01-01 New streamlined intragroup regime comes into effect; all notifications from this date must use the Connect process.
Zu prüfende Punkte
Check whether existing intragroup margin or clearing exemptions remain valid under the new regime, given that exemptions in force before 1 January 2027 continue where conditions apply.
Consider whether any notification for a new intragroup exemption should be submitted before 5 December, or contact the FCA at EMIR@org.uk if submitting between 5 and 31 December.
Review notification procedures so that notifications from 1 January 2027 are submitted via Connect under the streamlined process.
The FCA, DWP and The Pensions Regulator published a joint Discussion Paper seeking views on proposals for a Guided Retirement framework in contract-based and trust-based workplace pension schemes. It concerns firms operating contract-based workplace pensions, trustees and sponsors, pension service providers and other stakeholders, and it proposes building on the COBS 9B targeted support conduct framework for contract-based providers.
Daten im Text: 2026-11-03 Discussion Paper opens · 2026-12-22 Deadline for submitting consultation responses
Zu prüfende Punkte
Review the Discussion Paper proposals on Guided Retirement and assess their potential relevance to contract-based workplace pension offerings.
Consider whether to submit a consultation response by the stated deadline.
ESMA aktualisiert sein Handbuch zur Transparenz mit neuen Leitlinien für OTC-Derivate und Tick-Size-Regime
ESMA hat sein Handbuch zur Nachhandelstransparenz gemäß MiFID II/MiFIR aktualisiert. Die Aktualisierung enthält Leitlinien zur Identifizierung von OTC-Derivaten, die Transparenzanforderungen unterliegen, zur Bereitstellung identifizierender Referenzdaten für OTC-Derivate sowie zum Tick-Size-Regime, einschließlich Q&As und Empfehlungen zu Eingriffen von Handelsplätzen und nationalen zuständigen Behörden. Laut Text gilt das aktualisierte Handbuch als Entwurf, bis die zugehörigen RTS 2 und die RTS zu CTP-Input-/Output-Daten in Kraft treten.
Zu prüfende Punkte
Prüfen, ob die OTC-Derivate des Unternehmens gemäß den aktualisierten Leitlinien zur Identifizierung Transparenzanforderungen unterliegen.
Prüfen, wie identifizierende Referenzdaten für OTC-Derivate für die Transparenzmeldung bereitgestellt werden, wobei zu beachten ist, dass das Handbuch bis zum Inkrafttreten der zugehörigen RTS ein Entwurf ist.
Die Tick-Size-Q&As und Empfehlungen zu Eingriffen von Handelsplätzen und nationalen zuständigen Behörden prüfen, soweit sie für die Handelsaktivitäten des Unternehmens relevant sind.
CP26/39: Income sharing distribution and operational incident reporting for consolidated tape providers
The FCA consults on rules for how the equity consolidated tape provider (CTP) should split its income among data contributors, and proposes extending enhanced operational incident reporting requirements to all CTPs. The consultation is relevant to trading venues, approved publication arrangements, systematic internalisers, current and potential CTPs, and trade associations.
Daten im Text: 2026-12-17 Consultation CP26/39 closes; responses via online form or email to cp26-39@fca.org.uk · 2027-03-18 Operational incident reporting rules in PS26/2, on which these proposals build, come into force
Zu prüfende Punkte
Check whether your firm is a data contributor, trading venue, APA or systematic internaliser that would be affected by the proposed income sharing rules.
Review the proposed operational incident reporting requirements against current internal incident reporting processes if your firm is or may become a CTP.
ESMA specifies requirements to facilitate safe use of post-trade risk reduction services
ESMA has published a final report specifying conditions and requirements for post-trade risk reduction (PTRR) services, which determine when certain OTC derivative transactions may be exempt from the clearing obligation under EMIR 3. The rules cover information to participants, exercise procedures, provider controls, record-keeping and monitoring of the exemption, and concern providers and users of PTRR services. The draft Regulatory Technical Standards will now be submitted to the European Commission for endorsement.
Zu prüfende Punkte
Check whether your firm provides or uses PTRR services relevant to the EMIR 3 clearing obligation exemption.
Review the final report ESMA74-1049116226-981 for the requirements on information, controls and record-keeping that would apply to your role.
CP26/37: Senior Managers and Certification Regime (SM&CR) Review: Phase 2
The FCA consults on the second phase of its review of the Senior Managers and Certification Regime (SM&CR), proposing to streamline senior manager applications, reduce the number of firms in the Enhanced regime, remove the Certification Regime and simplify Conduct Rule training and breach reporting thresholds. It applies to all firms in scope of the SM&CR, including third-country branches, and to cryptoasset firms expected to come into scope.
Daten im Text: 2026-10-22 Consultation opens · 2027-01-22 Deadline to send comments on CP26/37 · 2027-06-30 Expected publication of final rules in a Policy Statement in the first half of 2027
Zu prüfende Punkte
Check whether any of your current SMF roles would be affected by the proposed removal or notification changes.
Review the proposed changes to Statements of Responsibilities, Management Responsibilities Maps, Conduct Rule training and breach reporting thresholds against your current processes.
Consider whether your firm would be affected by the proposed change to Enhanced regime thresholds, and whether to respond by 22 January 2027.
Kostenloser Test: die neuesten Veröffentlichungen für deine Lizenz
Ohne Konto, ohne Karte. Wähle Land und Lizenz: du siehst die letzten 5 relevanten Veröffentlichungen, bereits klassifiziert, aus den offiziellen Quellen gelesen.