Sub-categories

Asset Management

Brussels, 7 July 2020 REV2 – replaces the notice (REV1) dated 8 February 2018 NOTICE TO STAKEHOLDERS WITHDRAWAL OF THE UNITED KINGDOM AND EU RULES IN THE FIELD OF ASSET MANAGEMENT Since 1 February 2020, the United ...

Services, Companies & Firms

Effect of Brexit In the absence of no Brexit or a very limited Brexit, it  appears that the general EU right to provide services based on the establishment in one state in other states and to establish branches and ...

Ireland and Services Issues

Regulation of Services The regulation of services usually involves the authorisation, licensing and qualifications of the service provider. This may involve the authorisation or licensing of a company or firm, an ...

Brexit & Financial Services

EU Financial Services Legislation Most EU legislation on financial services is agreed between the European Parliament and (the member states in) the EU Council. Most decisions are taken by a qualified majority vote. ...

Financial Architecture

Supervisory Authorities Three European supervisory authorities (ESAs) were formed as part of the European Union banking reforms following the financial crisis. The ESAs are part of the ESFS (European System of ...

Financial Instruments

Financial Collateral A Directive on financial collateral seeks to reduce credit risk in collateral financial transactions between financial institutions.  The purpose is to provide for the rapid and informal ...

Banking

Regulation of Credit Institutions Credit institutions authorised in one EU state may provide services in other EU states. An institution established in one state which wishes to establish a branch in another state ...

EU UCIT Funds

UCITS UCITS are undertakings for collective investment in transferable securities. UCITS are usually undertakings with the sole object of collective investment in transferable securities or other liquid financial ...

Insurance

Regulation The European Union has legislated in relation to insurance services.  As part of the freedom of movement of capital and freedom to provide services, there is legislation setting down common principles of ...

Investment Services

Investment Services The granting and the renewal of authorisations for investment firms is undertaken in the home member state.  The competent authority (the central bank) must ensure that the investment firm has ...

EU Alternative Funds

AIF Managers Authorisation A 2011 directive regulates managers of alternative investment funds.  The purpose is to ensure an internal market for these managers while putting in place a harmonized regulatory ...

Securities

Listing of Securities EU directives have laid down common standards for stock exchange listing requirements.  The rules provide for the information that must be published when companies are first admitted to the ...

Consumer Credit

Consumer Credit Directive EU states must ensure persons offering credit obtain authorisation. They must be regulated and inspected; Bodies must be established to provide information and advice to consumers in ...

Payments

Payments Market Framework An EU directive aims to establish a framework for the creation of an integrated payments market.  It covers payment service providers established in the EU.  It covers payments in euro and ...

Authorisation Issues

Authorisation Scheme for Establishment Authorisation schemes and other requirements are permitted in respect of establishment in another EU state. An establishment involves the pursuit of an economic activity for an ...

The Services Directive

The Services Directive European Union law gives businesses established in one European Union country the freedom to provide services in or provide services to another European Union country. Numerous directives and ...

Qualifications Overview

Approach to Qualifications The EU has introduced sector-specific and general qualifications legislation in relation to recognising diplomas, qualifications, and equivalent awards. There are two different approaches ...
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