SCANNING 4

CACEIS European Regulatory Watch Newsletter

4

2014 October No.4

EUROPE Official translations of the Guidelines for complaints- handling in the securities (ESMA) and banking (EBA) sectors Commission issues CRD IV Level 2 measures on passport notification Entry into force of CSDR EMIR - Official translations of the Guidelines and Recommendations regarding CPSS-IOSCO Principles for FMIs Review of the CESR guidelines on a Common Definition of European Money Market Funds Publication of the UCITS V Directive in the Official Journal of the EU Presidency compromise text on the Regulation on indices used as benchmarks in financial instruments and financial contracts LUXEMBOURG New CSSF form “Application questionnaire to set up a UCITS” BELGIUM Communication of the FSMA dated 1 September 2014 on the reporting obligations of Alternative Investments Funds’ Managers

SWITZERLAND New regulations for Swiss Financial Institutions – FinIA and FFSA THE NETHERLANDS Proposed punitive law on manipulation benchmarks FRANCE AMF updates Position n° 2013-06 on ETFs and other UCITS issues AIFM Reporting to competent authorities INTERNATIONAL IOSCO Consultation Report on risk mitigation standards for Non-centrally Cleared OTC Derivatives ODRG Report on progress in resolving OTC derivatives cross-border implementation issues Issuance of a first set of deliverables addressing Base Erosion and Profit Shifting (BEPS) by OECD

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