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Part 1 Financial Services: Primary Legislation
Financial Services and Markets Act 2000
Financial Services Act 2010
Financial Services Act 2012
Financial Services (Banking Reform) Act 2013
Bank of England and Financial Services Act 2016
Financial Services Act 2021
Financial Services and Markets Act 2023
Appendix 1: Commencement dates of the Financial Services and Markets Act 2000
Appendix 2: Commencement dates of the Financial Services Act 2012
Appendix 3: Commencement dates of the Financial Services (Banking Reform) Act 2013
Appendix 4: Commencement dates of the Bank of England and Financial Services Act 2016
Appendix 5: Commencement dates of the Financial Services Act 2021
Appendix 6: Commencement dates of the Financial Services and Markets Act 2023
Part 2 Other Acts
Limited Partnerships Act 1907
Theft Act 1968
Stock Exchange (Completion of Bargains) Act 1976
Competition Act 1980
Police and Criminal Evidence Act 1984
Insolvency Act 1986
Building Societies Act 1986
Finance Act 1989
Law of Property (Miscellaneous Provisions) Act 1989
Companies Act 1989
Friendly Societies Act 1992
Criminal Justice Act 1993
Bank of England Act 1998
Competition Act 1998
Human Rights Act 1998
Criminal Justice and Police Act 2001
Enterprise Act 2002
Inquiries Act 2005
Gambling Act 2005
Regulation of Financial Services (Land Transactions) Act 2005 (Note)
Fraud Act 2006
Companies Act 2006
Investment Exchanges and Clearing Houses Act 2006 (Note)
Tribunals, Courts and Enforcement Act 2007
Banking (Special Provisions) Act 2008
Dormant Bank and Building Society Accounts Act 2008
Banking Act 2009
Enterprise and Regulatory Reform Act 2013
Consumer Rights Act 2015
Investigatory Powers Act 2016
Policing and Crime Act 2017
Criminal Finances Act 2017
Financial Guidance and Claims Act 2018
Data Protection Act 2018
Corporate Insolvency and Governance Act 2020 (Note)
Dormant Assets Act 2022
Economic Crime (Transparency and Enforcement) Act 2022
Economic Crime and Corporate Transparency Act 2023
Part 3 Financial Services: Statutory Instruments
Financial Services and Markets Act 2000 (Regulated Activities) Order 2001, SI 2001/544
Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges, Clearing Houses and Central Securities Depositories) Regulations 2001, SI 2001/995
Financial Services and Markets Act 2000 (Promotion of Collective Investment Schemes) (Exemptions) Order 2001, SI 2001/1060
Financial Services and Markets Act 2000 (Collective Investment Schemes) Order 2001, SI 2001/1062
Financial Services and Markets Act 2000 (Carrying on Regulated Activities by way of Business) Order 2001, SI 2001/1177
Financial Services and Markets Act 2000 (Exemption) Order 2001, SI 2001/1201
Financial Services and Markets Act 2000 (Appointed Representatives) Regulations 2001, SI 2001/1217
Financial Services and Markets Act 2000 (Designated Professional Bodies) Order 2001, SI 2001/1226
Financial Services and Markets Act 2000 (Professions) (Non-exempt Activities) Order 2001, SI 2001/1227
Open-ended Investment Companies Regulations 2001, SI 2001/1228
Financial Services and Markets Act 2000 (Dissolution of the Insurance Brokers Registration Council) (Consequential Provisions) Order 2001, SI 2001/1283 (Note)
Financial Services and Markets Act 2000 (Service of Notices) Regulations 2001, SI 2001/1420
Financial Services and Markets Act 2000 (Disclosure of Information by Prescribed Persons) Regulations 2001, SI 2001/1857
Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001, SI 2001/2188
Financial Services and Markets Act 2000 (Rights of Action) Regulations 2001, SI 2001/2256
Financial Services and Markets Act 2000 (Meaning of "Policy" and "Policyholder") Order 2001, SI 2001/2361
Financial Services and Markets Act 2000 (Commencement No 4 and Transitional Provision) Order 2001, SI 2001/2364 (Note)
Financial Services and Markets Act 2000 (Variation of Threshold Conditions) Order 2001, SI 2001/2507
Financial Services and Markets Act 2000 (Gaming Contracts) Order 2001, SI 2001/2510
Financial Services and Markets Act 2000 (EEA Passport Rights) Regulations 2001, SI 2001/2511
Financial Services and Markets Act 2000 (Communications by Auditors) Regulations 2001, SI 2001/2587
Financial Services and Markets Act 2000 (Insolvency) (Definition of "Insurer") Order 2001, SI 2001/2634 (Note)
Financial Services and Markets Act 2000 (Law Applicable to Contracts of Insurance) Regulations 2001, SI 2001/2635
Financial Services and Markets Act 2000 (Own-Initiative Power) (Overseas Regulators) Regulations 2001, SI 2001/2639
Financial Services and Markets Act 2000 (Official Listing of Securities) Regulations 2001, SI 2001/2956
Financial Services and Markets Act 2000 (Gibraltar) Order 2001, SI 2001/3084
Financial Services and Markets Act 2000 (Interim Permissions) Order 2001, SI 2001/3374
Bankruptcy (Financial Services and Markets Act 2000) (Scotland) Rules 2001, SI 2001/3591 (Note)
Financial Services and Markets Act 2000 (Control of Business Transfers) (Requirements on Applicants) Regulations 2001, SI 2001/3625
Financial Services and Markets Act 2000 (Control of Transfers of Business Done at Lloyd's) Order 2001, SI 2001/3626 (Note)
Financial Services and Markets Tribunal (Legal Assistance) Regulations 2001, SI 2001/3632
Financial Services and Markets Tribunal (Legal Assistance Scheme-Costs) Regulations 2001, SI 2001/3633
Insurers (Winding up) Rules 2001, SI 2001/3635 (Note)
Financial Services and Markets Act 2000 (Confidential Information) (Bank of England) (Consequential Provisions) Order 2001, SI 2001/3648
Financial Services and Markets Act 2000 (Miscellaneous Provisions) Order 2001, SI 2001/3650
Financial Services and Markets Act 2000 (Scope of Permission Notices) Order 2001, SI 2001/3771
Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2002, SI 2002/682
Electronic Commerce Directive (Financial Services and Markets) Regulations 2002, SI 2002/1775
Financial Services and Markets Act 2000 (Fourth Motor Insurance Directive) Regulations 2002, SI 2002/2706 (Note)
Financial Services and Markets Act 2000 (Communications by Actuaries) Regulations 2003, SI 2003/1294
Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No 1) Order 2003, SI 2003/1475
Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No 2) Order 2003, SI 2003/1476
Financial Services and Markets Act 2000 (Transitional Provisions) (Complaints Relating to General Insurance and Mortgages) Order 2004, SI 2004/454
Financial Conglomerates and Other Financial Groups Regulations 2004, SI 2004/1862
Financial Services and Markets Act 2000 (Stakeholder Products) Regulations 2004, SI 2004/2738
Financial Services and Markets Act 2000 (Financial Promotion) Order 2005, SI 2005/1529
Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2006, SI 2006/1969
Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No 2) Order 2006, SI 2006/2383
Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No 2) Order 2007, SI 2007/3510
Financial Services and Markets Act 2000 (Controllers) (Exemption) Order 2009, SI 2009/774
Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2009, SI 2009/1342
Financial Services and Markets Act 2000 (Law Applicable to Contracts of Insurance) Regulations 2009, SI 2009/3075
Financial Services and Markets Act 2000 (Contribution to Costs of Special Resolution Regime) Regulations 2010, SI 2010/2220
Financial Services and Markets Act 2000 (Administration Orders Relating to Insurers) Order 2010, SI 2010/3023 (Note)
Undertakings for Collective Investment in Transferable Securities Regulations 2011, SI 2011/1613
Financial Services and Markets Act 2000 (Permissions, Transitional Provisions and Consequential Amendments) (Northern Ireland Credit Unions) Order 2011, SI 2011/2832 (Note)
Open-Ended Investment Companies (Amendment) Regulations 2011, SI 2011/3049
Financial Services Act 2012 (Transitional Provisions) (Rules and Miscellaneous Provisions) Order 2013, SI 2013/161
Financial Services and Markets Act 2000 (Prescribed Financial Institutions) Order 2013, SI 2013/165
Payment to Treasury of Penalties (Enforcement Costs) Order 2013, SI 2013/418
Financial Services and Markets Act 2000 (Qualifying Provisions) Order 2013, SI 2013/419
Financial Services Act 2012 (Transitional Provisions) (Permission and Approval) Order 2013, SI 2013/440
Financial Services Act 2012 (Transitional Provisions) (Enforcement) Order 2013, SI 2013/441
Financial Services Act 2012 (Transitional Provisions) (Miscellaneous Provisions) Order 2013, SI 2013/442
Financial Services Act 2012 (Mutual Societies) Order 2013, SI 2013/496 (Note)
Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013, SI 2013/504
Financial Services and Markets Act 2000 (PRA-regulated Activities) Order 2013, SI 2013/556
Financial Services and Markets Act 2000 (Financial Services Compensation Scheme) Order 2013, SI 2013/598
Financial Services Act 2012 (Misleading Statements and Impressions) Order 2013, SI 2013/637
Alternative Investment Fund Managers Regulations 2013, SI 2013/1773
Alternative Investment Fund Managers (Amendment) Regulations 2013, SI 2013/1797
Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No 2) Order 2013, SI 2013/1881
Financial Services Act 2012 (Consumer Credit) Order 2013, SI 2013/1882
Capital Requirements Regulations 2013, SI 2013/3115
Financial Services and Markets Act 2000 (Qualifying Provisions) (No 2) Order 2013, SI 2013/3116
Financial Services and Markets Act 2000 (Designated Consumer Bodies) Order 2013, SI 2013/3191
Financial Services and Markets Act 2000 (Consumer Credit) (Miscellaneous Provisions) Order 2014, SI 2014/208 (Note)
Financial Services and Markets Act 2000 (Consumer Credit) (Designated Activities) Order 2014, SI 2014/334 (Note)
Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2014, SI 2014/366 (Note)
Financial Services (Banking Reform) Act 2013 (Disclosure of Confidential Information) Regulations 2014, SI 2014/882
Financial Services Act 2012 (Relevant Functions in relation to Complaints Scheme) Order 2014, SI 2014/1195
Alternative Investment Fund Managers Order 2014, SI 2014/1292 (Note)
Financial Services and Markets Act 2000 (Ring-fenced Bodies and Core Activities) Order 2014, SI 2014/1960
Financial Services and Markets Act 2000 (Excluded Activities and Prohibitions) Order 2014, SI 2014/2080
Bank Recovery and Resolution (No 2) Order 2014, SI 2014/3348 (Note)
Financial Services (Banking Reform) Act 2013 (Commencement (No 8) and Consequential Provisions) Order 2015, SI 2015/428 (Note)
Payment to Treasury of Penalties (Enforcement Costs of the Payment Systems Regulator) Order 2015, SI 2015/487
Financial Services (Banking Reform) Act 2013 (Transitional and Savings Provisions) Order 2015, SI 2015/492
Financial Services and Markets Act 2000 (Banking Reform) (Pensions) Regulations 2015, SI 2015/547
Financial Services and Markets Act 2000 (Regulated Activities) (Transitional Provisions) Order 2015, SI 2015/732
Mortgage Credit Directive Order 2015, SI 2015/910 (Note)
Financial Services and Markets Act 2000 (Relevant Authorised Persons) Order 2015, SI 2015/1865
Financial Services (Banking Reform) Act 2013 (Designated Representative Bodies) Order 2016, SI 2016/202
Financial Services and Markets Act 2000 (Transparency of Securities Financing Transactions and of Reuse) Regulations 2016, SI 2016/715
Financial Services and Markets Act 2000 (Early Exit Pension Charges) Regulations 2016, SI 2016/1079
Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2017, SI 2017/488
Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017, SI 2017/701
Payment Services Regulations 2017, SI 2017/752
Central Securities Depositories Regulations 2017, SI 2017/1064
Risk Transformation Regulations 2017, SI 2017/1212 (Note)
Bank of England and Financial Services Act 2016 (Commencement No 5 and Transitional Provisions) Regulations 2018, SI 2018/990
Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018, SI 2018/1253
Bank of England and Financial Services Act 2016 (Commencement No 6 and Transitional Provisions) Regulations 2019, SI 2019/1136
Bearer Certificates (Collective Investment Schemes) Regulations 2020, SI 2020/1346
Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2021, SI 2021/90
Financial Services Act 2021 (Commencement No 1) Regulations 2021, SI 2021/671 (Note)
Financial Services and Markets Act 2000 (Prudential Regulation of FCA Investment Firms) (Definitions for the purposes of Part 9C) Regulations 2021, SI 2021/1046
Financial Services Act 2021 (Prudential Regulation of Credit Institutions and Investment Firms) (Consequential Amendments and Miscellaneous Provisions) Regulations 2022, SI 2022/838 (Note)
Financial Services and Markets Act 2000 (Financial Promotion) (Amendment) Order 2023, SI 2023/612
Financial Services and Markets Act 2023 (Commencement No 1) Regulations 2023, SI 2023/779
Financial Services Act 2021 (Commencement No 5) Regulations 2023, SI 2023/934
Financial Services and Markets Act 2023 (Commencement No 2 and Transitional Provisions) Regulations 2023, SI 2023/936
Financial Services and Markets Act 2023 (Commencement No 3) (Amendment) Regulations 2023, SI 2023/937
Financial Services and Markets Act 2000 (Exemptions from Financial Promotion General Requirement) Regulations 2023, SI 2023/966
Financial Services and Markets Act 2023 (Commencement No 4 and Transitional and Saving Provisions) (Amendment) Regulations 2023, SI 2023/1382
Financial Services and Markets Act 2023 (Digital Securities Sandbox) Regulations 2023, SI 2023/1398
Securitisation Regulations 2024, SI 2024/102
Public Offers and Admissions to Trading Regulations 2024, SI 2024/105
Data Reporting Services Regulations 2024, SI 2024/107
Financial Services Act 2021 (Overseas Funds Regime and Recognition of Parts of Schemes) (Amendment and Modification) Regulations 2024, SI 2024/114 (Note)
Financial Services and Markets Act 2023 (Commencement No 5) Regulations 2024, SI 2024/250 (Note)
Financial Services and Markets Act 2000 (Disapplication or Modification of Financial Regulator Rules in Individual Cases) Regulations 2024, SI 2024/539
Financial Services and Markets Act 2023 (Commencement No 6) Regulations 2024, SI 2024/620 (Note)
Financial Services and Markets Act 2000 (Overseas Funds Regime) (Equivalence) (European Economic Area) Regulations 2024, SI 2024/635 (Note)
Financial Services and Markets Act 2023 (Commencement No 7) Regulations 2024, SI 2024/891
Financial Services and Markets Act 2023 (Commencement No 8) Regulations 2024, SI 2024/1071
Consumer Composite Investments (Designated Activities) Regulations 2024, SI 2024/1198
Short Selling Regulations 2025, SI 2025/29
Unauthorised Co-ownership Alternative Investment Funds (Reserved Investor Fund) Regulations 2025, SI 2025/216
Appendix 7: Statutory Instruments made under the Financial Services and Markets Act 2000
Appendix 8: Statutory Instruments made under the Financial Services Act 2012 and the Financial Services Act 2021
Appendix 9: Statutory Instruments made under the Financial Services (Banking Reform) Act 2013
Appendix 10: Statutory Instruments made under the Bank of England and Financial Services Act 2016
Appendix 11: Statutory Instruments made under the Financial Services and Markets Act 2023
Part 4 Other Statutory Instruments
Stock Transfer (Recognised Stock Exchanges) Order 1973, SI 1973/536
Financial Markets and Insolvency Regulations 1991, SI 1991/880
Financial Markets and Insolvency Regulations 1996, SI 1996/1469
Unfair Terms in Consumer Contracts Regulations 1999, SI 1999/2083 (Note)
Financial Markets and Insolvency (Settlement Finality) Regulations 1999, SI 1999/2979
Uncertificated Securities Regulations 2001, SI 2001/3755
Electronic Commerce (EC Directive) Regulations 2002, SI 2002/2013
Financial Collateral Arrangements (No 2) Regulations 2003, SI 2003/3226
Credit Institutions (Reorganisation and Winding up) Regulations 2004, SI 2004/1045
Financial Services (Distance Marketing) Regulations 2004, SI 2004/2095
Control of Cash (Penalties) Regulations 2007, SI 2007/1509
Electronic Commerce Directive (Terrorism Act 2006) Regulations 2007, SI 2007/1550
Regulated Covered Bonds Regulations 2008, SI 2008/346
Tribunal Procedure (Upper Tribunal) Rules 2008, SI 2008/2698
Banking Act 2009 (Third Party Compensation Arrangements for Partial Property Transfers) Regulations 2009, SI 2009/319
Banking Act 2009 (Restriction of Partial Property Transfers) Order 2009, SI 2009/322
Law Applicable to Contractual Obligation (England and Wales and Northern Ireland) Regulations 2009, SI 2009/3064 (Note)
Electronic Money Regulations 2011, SI 2011/99
Investment Bank Special Administration Regulations 2011, SI 2011/245 (Note)
Investment Bank Special Administration (England and Wales) Rules 2011, SI 2011/1301 (Note)
Investment Bank Special Administration (Scotland) Rules 2011, SI 2011/2262 (Note)
Financial Services and Markets Act 2000 (Short Selling) Regulations 2012, SI 2012/2554
Payments in Euro (Credit Transfers and Direct Debits) Regulations 2012, SI 2012/3122 (Note)
Bank of England Act 1998 (Macro-prudential Measures) Order 2013, SI 2013/644
Collective Investment in Transferable Securities (Contractual Scheme) Regulations 2013, SI 2013/1388
Legal Aid, Sentencing and Punishment of Offenders Act 2012 (Referral Fees) Regulations 2013, SI 2013/1635 (Note)
Capital Requirements (Country-by-Country Reporting) Regulations 2013, SI 2013/3118
Enterprise and Regulatory Reform Act 2013 (Commencement No 6, Transitional Provisions and Savings) Order 2014, SI 2014/416 (Note)
Capital Requirements (Capital Buffers and Macro-prudential Measures) Regulations 2014, SI 2014/894
Banking Act 2009 (Banking Group Companies) Order 2014, SI 2014/1831 (Note)
Public Interest Disclosure (Prescribed Persons) Order 2014, SI 2014/2418 (Note)
Central Securities Depositories Regulations 2014, SI 2014/2879
Banking Act 2009 (Mandatory Compensation Arrangements Following Bail-in) Regulations 2014, SI 2014/3330 (Note)
Banking Act 2009 (Restriction of Special Bail-in Provision, etc) Order 2014, SI 2014/3350 (Note)
Deposit Guarantee Scheme Regulations 2015, SI 2015/486
Bank of England Act 1998 (Macro-prudential Measures) (No 2) Order 2015, SI 2015/905
Bank of England Act 1998 (Macro-prudential Measures) Order 2015, SI 2015/909
Payment Accounts Regulations, SI 2015/2038 (Note)
Register of People with Significant Control Regulations 2016, SI 2016/339
Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016, SI 2016/680
Bank Recovery and Resolution Order 2016, SI 2016/1239 (Note)
Bank of England Act 1998 (Macro-prudential Measures) Order 2016, SI 2016/1240
Investment Bank (Amendment of Definition) and Special Administration (Amendment) Regulations 2017, SI 2017/443
Scottish Partnerships (Register of People with Significant Control) Regulations 2017, SI 2017/694
Data Reporting Services Regulations 2017, SI 2017/699 (Note)
Packaged Retail and Insurance-based Investment Products Regulations 2017, SI 2017/1127
Financial Services and Markets Act 2000 (Benchmarks) Regulations 2018, SI 2018/135
Financial Market Infrastructure Administration (England and Wales) Rules 2018, SI 2018/833 (Note)
Securitisation Regulations 2018, SI 2018/1288
Proxy Advisors (Shareholders' Rights) Regulations 2019, SI 2019/926
Financial Services and Markets Act 2000 (Prospectus) Regulations 2019, SI 2019/1043
Payment and Electronic Money Institution Insolvency Regulations 2021, SI 2021/716 (Note)
Benchmarks (Provision of Information and Documents) Regulations 2021, SI 2021/812
Payment and Electronic Money Institution Insolvency (England and Wales) Rules 2021, SI 2021/1178 (Note)
Payment and Electronic Money Institution Insolvency (Scotland) Rules 2022, SI 2022/1239 (Note)
Insider Dealing (Securities and Regulated Markets) Order 2023, SI 2023/582
Dormant Assets (Distribution of Money) (England) Order 2023, SI 2023/1252
Bank of England Levy (Amount of Levy Payable) Regulations 2024, SI 2024/252 (Note)
Part 5 Exiting the EU Materials
European Union (Withdrawal) Act 2018
European Union (Withdrawal Agreement) Act 2020
Retained EU Law (Revocation and Reform) Act 2023
Financial Regulators' Powers (Technical Standards etc) (Amendment etc) (EU Exit) Regulations 2018, SI 2018/1115
EEA Passport Rights (Amendment, etc, and Transitional Provisions) (EU Exit) Regulations 2018, SI 2018/1149
Central Counterparties (Amendment, etc, and Transitional Provision) (EU Exit) Regulations 2018, SI 2018/1184
Electronic Money, Payment Services and Payment Systems (Amendment and Transitional Provisions) (EU Exit) Regulations 2018, SI 2018/1201
Trade Repositories (Amendment and Transitional Provision) (EU Exit) Regulations 2018, SI 2018/1318
Central Securities Depositories (Amendment) (EU Exit) Regulations 2018, SI 2018/1320
Bank Recovery and Resolution and Miscellaneous Provisions (Amendment) (EU Exit) Regulations 2018, SI 2018/1394 (Note)
Credit Institutions and Insurance Undertakings Reorganisation and Winding Up (Amendment) (EU Exit) Regulations 2019, SI 2019/38
Accounts and Reports (Amendment) (EU Exit) Regulations 2019, SI 2019/145
Statutory Auditors and Third Country Auditors (Amendment) (EU Exit) Regulations 2019, SI 2019/177
Financial Conglomerates and Other Financial Groups (Amendment etc) (EU Exit) Regulations 2019, SI 2019/264
Collective Investment Schemes (Amendment etc) (EU Exit) Regulations 2019, SI 2019/325
Venture Capital Funds (Amendment) (EU Exit) Regulations 2019, SI 2019/333
Over the Counter Derivatives, Central Counterparties and Trade Repositories (Amendment, etc, and Transitional Provision) (EU Exit) Regulations 2019, SI 2019/335
Financial Markets and Insolvency (Amendment and Transitional Provision) (EU Exit) Regulations 2019, SI 2019/341
Social Entrepreneurship Funds (Amendment) (EU Exit) Regulations 2019, SI 2019/343
Equivalence Determinations for Financial Services and Miscellaneous Provisions (Amendment etc) (EU Exit) Regulations 2019, SI 2019/541
Transparency of Securities Financing Transactions and of Reuse (Amendment) (EU Exit) Regulations 2019, SI 2019/542
Financial Services (Gibraltar) (Amendment) (EU Exit) Regulations 2019, SI 2019/589
European Union (Withdrawal) Act 2018 (Consequential Modifications and Repeals and Revocations) (EU Exit) Regulations 2019, SI 2019/628
Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019, SI 2019/632
Benchmarks (Amendment and Transitional Provision) (EU Exit) Regulations 2019, SI 2019/657
Uncertificated Securities (Amendment and EU Exit) Regulations 2019, SI 2019/679
Gibraltar (Miscellaneous Amendments) (EU Exit) Regulations 2019, SI 2019/680
International Accounting Standards and European Public Limited-Liability Company (Amendment etc) (EU Exit) Regulations 2019, SI 2019/685 (Note)
Official Listing of Securities, Prospectus and Transparency (Amendment etc) (EU Exit) Regulations 2019, SI 2019/707
Financial Services (Miscellaneous) (Amendment) (EU Exit) Regulations 2019, SI 2019/710
Prospectus (Amendment etc) (EU Exit) Regulations 2019, SI 2019/1234
Electronic Commerce and Solvency 2 (Amendment etc) (EU Exit) Regulations 2019, SI 2019/1361
Equivalence Determinations for Financial Services (Amendment etc) (EU Exit) Regulations 2020, SI 2020/1055
Central Counterparties (Equivalence) Regulations 2020, SI 2020/1244
Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020, SI 2020/1385
European Union (Withdrawal) Act 2018 and European Union (Withdrawal Agreement) Act 2020 (Commencement, Transitional and Savings Provisions) Regulations 2020, SI 2020/1622
Retained EU Law (Revocation and Reform) Act 2023 (Commencement No 2 and Saving Provisions) Regulations 2024 (Note)
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Part 6 EU Materials & Assimilated Materials
Complete chronological list
93/13/EEC Council Directive on unfair terms in consumer contracts
97/9/EC Directive of the European Parliament and of the Council on investor-compensation schemes
98/26/EC Directive of the European Parliament and of the Council on settlement finality in payment and securities settlement systems
2001/34/EC Directive of the European Parliament and of the Council on the admission of securities to official stock exchange listing and on information to be published on those securities
2002/47/EC Directive of the European Parliament and of the Council on financial collateral arrangements
2002/65/EC Directive of the European Parliament and of the Council concerning the distance marketing of consumer financial services and amending Council Directive 90/619/EEC and Directives 97/7/EC and 98/27/EC
2002/87/EC Directive of the European Parliament and of the Council on the supplementary supervision of credit institutions, insurance undertakings and investment firms in a financial conglomerate and amending Council Directives73/239/EEC, 79/267/EEC, 92/49/EEC, 92/96/EEC, 93/6/EEC and 93/22/EEC,and Directives 98/78/EC and 2000/12/EC of the European Parliament and of the Council
2004/109/EC Directive of the European Parliament and of the Council on the harmonisation of transparency requirements in relation to information about issuers whose securities are admitted to trading on a regulated market and amending Directive 2001/34/EC
1287/2006/EC Commission Regulation implementing Directive 2004/39/EC of the European Parliament and of the Council as regards record-keeping obligations for investment firms, transaction reporting, market transparency, admission of financial instruments to trading, and defined terms for the purposes of that Directive
2006/73/EC Commission Directive implementing Directive 2004/39/EC of the European Parliament and of the Council as regards organisational requirements and operating conditions for investment firms and defined terms for the purposes of that Directive
2007/14/EC Commission Directive laying down detailed rules for the implementation of certain provisions of Directive 2004/109/EC on the harmonisation of transparency requirements in relation to information about issuers whose securities are admitted to trading on a regulated market
2007/16/EC Commission Directive implementing Council Directive 85/611/EEC on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) as regards the clarification of certain definitions
2009/65/EC Directive of the European Parliament and of the Council on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) (recast)
2009/110/EC Directive of the European Parliament and of the Council on the taking up, pursuit and prudential supervision of the business of electronic money institutions amending Directives 2005/60/EC and 2006/48/EC and repealing Directive 2000/46/EC
583/2010/EU Commission Regulation implementing Directive 2009/65/EC of the European Parliament and of the Council as regards key investor information and conditions to be met when providing key investor information or the prospectus in a durable medium other than paper or by means of a website
2010/43/EU Commission Directive implementing Directive 2009/65/EC of the European Parliament and of the Council as regards organisational requirements, conflicts of interest, conduct of business, risk management and content of the agreement between a depositary and a management company
2010/44/EU Commission Directive implementing Directive 2009/65/EC of the European Parliament and of the Council as regards certain provisions concerning fund mergers, master-feeder structures and notification procedure
2011/61/EU Directive of the European Parliament and of the Council on Alternative Investment Fund Managers and amending Directives 2003/41/EC and 2009/65/EC and Regulations (EC) No 1060/2009 and (EU) No 1095/2010
2011/83/EU Directive of the European Parliament and of the Council on consumer rights, amending Council Directive 93/13/EEC and Directive 1999/44/EC of the European Parliament and of the Council and repealing Council Directive 85/577/EEC and Directive 97/7/EC of the European Parliament and of the Council
236/2012/EU Regulation of the European Parliament and of the Council on short selling and certain aspects of credit default swaps
648/2012/EU Regulation of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories
826/2012/EU Commission Delegated Regulation supplementing Regulation (EU) No 236/2012 of the European Parliament and of the Council with regard to regulatory technical standards on notification and disclosure requirements with regard to net short positions, the details of the information to be provided to the European Securities and Markets Authority in relation to net short positions and the method for calculating turnover to determine exempted shares
827/2012/EU Commission Delegated Regulation laying down implementing technical standards with regard to the means for public disclosure of net position in shares, the format of the information to be provided to the European Securities and Markets Authority in relation to net short positions, the types of agreements, arrangements and measures to adequately ensure that shares or sovereign debt instruments are available for settlement and the dates and period for the determination of the principal venue for a share according to Regulation (EU) No 236/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps
918/2012/EU Commission Delegated Regulation supplementing Regulation(EU) No 236/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps with regard to definitions, the calculation of net short positions, covered sovereign credit default swaps, notification thresholds, liquidity thresholds for suspending restrictions, significant falls in the value of financial instruments and adverse events
919/2012/EU Commission Delegated Regulation supplementing Regulation (EU) No 236/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps with regard to regulatory technical standards for the method of calculation of the fall in value for liquid shares and other financial instruments
1248/2012/EU Commission Delegated Regulation laying down implementing technical standards with regard to the format of applications for registration of trade repositories according to Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories
1249/2012/EU Commission Implementing Regulation laying down implementing technical standards with regard to the format of the records to be maintained by central counterparties according to Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories
149/2013/EU Commission Delegated Regulation supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on indirect clearing arrangements, the clearing obligation, the public register, access to a trading venue, non-financial counterparties, and risk mitigation techniques for OTC derivatives contracts not cleared by a CCP
150/2013/EU Commission Delegated Regulation supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories with regard to regulatory technical standards specifying the details of the application for registration as a trade repository
151/2013/EU Commission Delegated Regulation supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories, with regard to regulatory technical standards specifying the data to be published and made available by trade repositories and operational standards for aggregating, comparing and accessing the data
152/2013/EU Commission Delegated Regulation supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on capital requirements for central counterparties
153/2013/EU Commission Delegated Regulation supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on requirements for central counterparties
231/2013/EU Commission Delegated Regulation supplementing Directive 2011/61/EU of the European Parliament and of the Council with regard to exemptions, general operating, conditions, depositaries, leverage, transparency and supervision
345/2013/EU Regulation of the European Parliament and of the Council on European venture capital funds
447/2013/EU Commission Implementing Regulation establishing the procedure for AIFMs which choose to opt in under Directive 2011/61/EU of the European Parliament and of the Council
448/2013/EU establishing a procedure for determining the Member State of reference of a non-EU AIFM pursuant to Directive 2011/61/EU of the European Parliament and of the Council
575/2013/EU Regulation of the European Parliament and of the Council on prudential requirements for credit institutions and amending Regulation (EU) No 648/2012
2013/36/EU Directive of the European Parliament and of the Council on access to the activity of credit institutions and the prudential supervision of credit institutions, amending Directive 2002/87/EC and repealing Directives 2006/48/EC and 2006/49/EC
1423/2013/EU Commission Implementing Regulation laying down implementing technical standards with regard to disclosure of own funds requirements for institutions according to Regulation (EU) No 575/2013 of the European Parliament and of the Council
183/2014/EU Commission Delegated Regulation supplementing Regulation (EU) No 575/2013 of the European Parliament and of the Council on prudential requirements for credit institutions and investment firms, with regard to regulatory technical standards for specifying the calculation of specific and general credit risk adjustments
241/2014/EU Commission Delegated Regulation supplementing Regulation (EU) No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards for own funds and eligible liabilities requirements for institutions
285/2014/EU Commission Delegated Regulation supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on direct, substantial and foreseeable effect of contracts within the Union and to prevent the evasion of rules and obligations
342/2014/EU Commission Delegated Regulation supplementing Directive 2002/87/EC of the European Parliament and of the Council and Regulation (EU) No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards for the application of the calculation methods of capital adequacy requirements for financial conglomerates
484/2014/EU Commission Implementing Regulation laying down implementing technical standards with regard to the hypothetical capital of a central counterparty according to Regulation (EU) No 648/2012 of the European Parliament and of the Council
523/2014/EU Commission Delegated Regulation supplementing Regulation (EU) No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards for determining what constitutes the close correspondence between the value of an institution's covered bonds and the value of the institution's assets
525/2014/EU Commission Delegated Regulation supplementing Regulation (EU) No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards for the definition of market
526/2014/EU Commission Delegated Regulation supplementing Regulation (EU) No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards for determining proxy spread and limited smaller portfolios for credit valuation adjustment risk
527/2014/EU Commission Delegated Regulation supplementing Directive (EU) No 2013/36/EU of the European Parliament and of the Council with regard to regulatory technical standards specifying the classes of instruments that adequately reflect the credit quality of an institution as a going concern and are appropriate to be used for the purposes of variable remuneration
528/2014/EU Commission Delegated Regulation supplementing Regulation (EU) No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards for non-delta risk of options in the standardised market risk approach
529/2014/EU Commission Delegated Regulation supplementing Regulation (EU) No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards for assessing the materiality of extensions and changes of the Internal Ratings Based Approach and the Advanced Measurement Approach
530/2014/EU Commission Delegated Regulation supplementing Directive 2013/36/EU of the European Parliament and of the Council with regard to regulatory technical standards further defining material exposures and thresholds for internal approaches to specific risk in the trading book
593/2014/EU Commission Implementing Regulation laying down implementing technical standards with regard to the format of the notification according to Article 16(1) of Regulation (EU) No 345/2013 of the European Parliament and of the Council on European venture capital funds
596/2014/EU Regulation of the European Parliament and of the Council on market abuse (market abuse regulation) and repealing Directive 2003/6/EC of the European Parliament and of the Council and Commission Directives 2003/124/EC, 2003/125/EC and 2004/72/EC
600/2014/EU Regulation of the European Parliament and of the Council on markets in financial instruments and amending Regulation (EU) No 648/2012
602/2014/EU Commission Implementing Regulation laying down implementing technical standards for facilitating the convergence of supervisory practices with regard to the implementation of additional risk weights according to Regulation (EU) No 575/2013 of the European Parliament and of the Council
604/2014/EU Commission Implementing Regulation supplementing Directive 2013/36/EU of the European Parliament and of the Council with regard to regulatory technical standards with respect to qualitative and appropriate quantitative criteria to identify categories of staff whose professional activities have a material impact on an institution's risk profile
2014/49/EU Directive of the European Parliament and of the Council on deposit guarantee schemes (recast)
2014/57/EU Directive of the European Parliament and of the Council on criminal sanctions for market abuse (market abuse directive) (Note)
2014/59/EU Directive of the European Parliament and of the Council establishing a framework for the recovery and resolution of credit institutions and investment firms and amending Council Directive 82/891/EEC, and Directives 2001/24/EC, 2002/47/EC, 2004/25/EC, 2005/56/EC, 2007/36/EC, 2011/35/EU, 2012/30/EU and 2013/36/EU, and Regulations (EU) No 1093/2010 and (EU) No 648/2012, of the European Parliament and of the Council
2014/65/EU Directive of the European Parliament and of the Council on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU (recast)
625/2014/EU Commission Delegated Regulation supplementing Regulation (EU) No 575/2013 of the European Parliament and of the Council by way of regulatory technical standards specifying the requirements for investor, sponsor, original lenders and originator institutions relating to exposures to transferred credit risk (Note)
650/2014/EU Commission Implementing Regulation laying down implementing technical standards with regard to the format, structure, contents list and annual publication date of the information to be disclosed by competent authorities in accordance with Directive 2013/36/EU of the European Parliament and of the Council (Note)
680/2014/EU Commission Implementing Regulation laying down implementing technical standards with regard to supervisory reporting of institutions according to Regulation (EU) No 575/2013 of the European Parliament and of the Council
694/2014/EU Commission Delegated Regulation supplementing Directive 2011/61/EU of the European Parliament and of the Council with regard to regulatory technical standards determining types of alternative investment fund managers
710/2014/EU Commission Implementing Regulation laying down implementing technical standards with regard to conditions of application of the joint decision process for institution-specific prudential requirements according to Directive 2013/36/EU of the European Parliament and of the Council
2014/92/EU Directive of the European Parliament and of the Council on the comparability of fees related to payment accounts, payment account switching and access to payment accounts with basic features (Note)
909/2014/EU Regulation of the European Parliament and of the Council on improving securities settlement in the European Union and on central Securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation (EU) No 236/2012
926/2014/EU Commission Implementing Regulation laying down implementing technical standards with regard to standard forms, templates and procedures for notifications relating to the exercise of the right of establishment and the freedom to provide services according to Directive 2013/36/EU of the European Parliament and of the Council
945/2014/EU Commission Implementing Regulation laying down implementing technical standards with regard to relevant appropriately diversified indices according to Regulation (EU) No 575/2013 of the European Parliament and of the Council
1030/2014/EU Commission Implementing Regulation laying down implementing technical standards with regard to the uniform formats and date for the disclosure of the values used to identify global systemically important institutions according to Regulation (EU) No 575/2013 of the European Parliament and of the Council (Note)
1151/2014/EU Commission Delegated Regulation supplementing Directive 2013/36/EU of the European Parliament and of the Council with regard to regulatory technical standards on the information to be notified when exercising the right of establishment and the freedom to provide services
1152/2014/EU Commission Delegated Regulation supplementing Directive 2013/36/EU of the European Parliament and of the Council with regard to regulatory technical standards on the identification of the geographical location of the relevant credit exposures for calculating institution-specific countercyclical capital buffer rates (Note)
1187/2014/EU Commission Implementing Regulation supplementing Regulation (EU) No 575/2013 of the European Parliament and of the Council as regards regulatory technical standards for determining the overall exposure to a client or a group of connected clients in respect of transactions with underlying assets
1222/2014/EU Commission Delegated Regulation supplementing Directive 2013/36/EU of the European Parliament and of the Council with regard to regulatory technical standards for the specification of the methodology for the identification of global systemically important institutions and for the definition of subcategories of global systemically important institutions (Note)
1286/2014/EU Regulation of the European Parliament and of the Council on key information documents for packaged retail and insurance-based investment products (PRIIPs)
2015/61/EU Commission Delegated Regulation to supplement Regulation (EU) No 575/2013 of the European Parliament and the Council with regard to liquidity coverage requirement for Credit Institutions (Note)
2015/514/EU Commission Delegated Regulation on the information to be provided by competent authorities to the European Securities and Markets Authority pursuant to Article 67(3) of Directive 2011/61/EU of the European Parliament and of the Council (Note)
2015/585/EU Commission Delegated Regulation supplementing Regulation (EU) No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards for the specification of margin periods of risk
2015/760/EU Regulation of the European Parliament and of the Council on European long-term investment funds
2015/761/EU Commission Delegated Regulation supplementing Directive 2004/109/EC of the European Parliament and of the Council with regard to certain regulatory technical standards on major holdings
2015/847/EU Regulation of the European Parliament and of the Council on information accompanying transfers of funds and repealing Regulation (EC) No 1781/2006
2015/2205/EU Commission Delegated Regulation supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on the clearing obligation
2015/2303/EU Commission Delegated Regulation supplementing Directive 2002/87/EC of the European Parliament and of the Council with regard to regulatory technical standards specifying the definitions and coordinating the supplementary supervision of risk concentration and intra-group transactions
2015/2365/EU Regulation of the European Parliament and of the Council on transparency of securities financing transactions and of reuse and amending Regulation (EU) No 648/2012
2015/2366/EU Directive of the European Parliament and of the Council on payment services in the internal market, amending Directives 2002/65/EC, 2009/110/EC and 2013/36/EU and Regulation (EU) No 1093/2010, and repealing Directive 2007/64/EC
2015/2392/EU Commission Implementing Directive on Regulation (EU) No 596/2014 of the European Parliament and of the Council as regards reporting to competent authorities of actual or potential infringements of that Regulation
2016/98/EU Commission Delegated Regulation supplementing Directive 2013/36/EU of the European Parliament and of the Council with regard to regulatory technical standards for specifying the general conditions for the functioning of colleges of supervisors (Note)
2016/99/EU Commission Implementing laying down implementing technical standards with regard to determining the operational functioning of the colleges of supervisors according to Directive 2013/36/EU of the European Parliament and of the Council (Note)
2016/100/EU Commission Implementing laying down implementing technical standards specifying the joint decision process with regard to the application for certain prudential permissions pursuant to Regulation (EU) No 575/2013 of the European Parliament and of the Council (Note)
2016/101/EU Commission Delegated Regulation supplementing Regulation (EU) No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards for prudent valuation under Article 105(14)
2016/200/EU Commission Implementing Regulation laying down implementing technical standards with regard to disclosure of the leverage ratio for institutions, according to Regulation (EU) No 575/2013 of the European Parliament and of the Council (Note)
2016/347/EU Commission Implementing Regulation laying down implementing technical standards with regard to the precise format of insider lists and for updating insider lists in accordance with Regulation (EU) No 596/2014 of the European Parliament and of the Council
2016/378/EU Commission Implementing Regulation laying down implementing technical standards with regard to the timing, format and template of the submission of notifications to competent authorities according to Regulation (EU) No 596/2014 of the European Parliament and of the Council
2016/438/EU Commission Delegated Regulation supplementing Directive 2009/65/EC of the European Parliament and of the Council with regard to obligations of depositaries
2016/522/EU Commission Delegated Regulation supplementing Regulation (EU) No 596/2014 of the European Parliament and of the Council as regards an exemption for certain third countries public bodies and central banks, the indicators of market manipulation, the disclosure thresholds, the competent authority for notifications of delays, the permission for trading during closed periods and types of notifiable managers' transactions
2016/523/EU Commission Implementing Regulation laying down implementing technical standards with regard to the format and template for notification and public disclosure of managers' transactions in accordance with Regulation (EU) No 596/2014 of the European Parliament and of the Council
2016/592/EU Commission Delegated Regulation supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on the clearing obligation
2016/824/EU Commission Implementing Regulation laying down implementing technical standards with regard to the content and format of the description of the functioning of multilateral trading facilities and organised trading facilities and the notification to the European Securities and Markets Authority according to Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments
2016/908/EU Commission Delegated Regulation supplementing Regulation (EU) No 596/2014 of the European Parliament and of the Council laying down regulatory technical standards on the criteria, the procedure and the requirements for establishing an accepted market practice and the requirements for maintaining it, terminating it or modifying the conditions for its acceptance
2016/909/EU Commission Delegated Regulation supplementing Regulation (EU) No 596/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the content of notifications to be submitted to competent authorities and the compilation, publication and maintenance of the list of notifications
2016/957/EU Commission Delegated Regulation supplementing Regulation (EU) No 596/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the appropriate arrangements, systems and procedures as well as notification templates to be used for preventing, detecting and reporting abusive practices or suspicious orders or transactions
2016/958/EU Commission Delegated Regulation supplementing Regulation (EU) No 596/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the technical arrangements for objective presentation of investment recommendations or other information recommending or suggesting an investment strategy and for disclosure of particular interests or indications of conflicts of interest
2016/959/EU Commission Implementing Regulation laying down implementing technical standards for market soundings with regard to the systems and notification templates to be used by disclosing market participants and the format of the records in accordance with Regulation (EU) No 596/2014 of the European Parliament and of the Council
2016/960/EU Commission Delegated Regulation supplementing Regulation (EU) No 596/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the appropriate arrangements, systems and procedures for disclosing market participants conducting market soundings
2016/1011/EU Regulation of the European Parliament and of the Council on indices used as benchmarks in financial instruments and financial contracts or to measure the performance of investment funds and amending Directives 2008/48/EC and 2014/17/EU and Regulation (EU) No 596/2014
2016/1052/EU Commission Delegated Regulation supplementing Regulation (EU) No 596/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the conditions applicable to buy-back programmes and stabilisation measures
2016/1055/EU Commission Implementing Regulation laying down implementing technical standards with regard to the technical means for appropriate public disclosure of inside information and for delaying the public disclosure of inside information in accordance with Regulation (EU) No 596/2014 of the European Parliament and of the Council
2016/1178/EU Commission Delegated Regulation supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on the clearing obligation
2016/1437/EU Commission Delegated Regulation supplementing Directive 2004/109/EC of the European Parliament and of the Council with regard to regulatory technical standards on access to regulated information at Union level
2016/1646/EU Commission Implementing Regulation laying down implementing technical standards with regard to main indices and recognised exchanges in accordance with Regulation (EU) No 575/2013 of the European Parliament and of the Council on prudential requirements for credit institutions and investment firms
2016/1904/EU Commission Delegated Regulation supplementing Regulation (EU) No 1286/2014 of the European Parliament and of the Council with regard to product intervention
2016/2020/EU Commission Delegated Regulation supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on criteria for determining whether derivatives subject to the clearing obligation should be subject to the trading obligation
2016/2021/EU Commission Delegated Regulation supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on access in respect of benchmarks
2016/2022/EU Commission Delegated Regulation supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards concerning the information for registration of third-country firms and the format of information to be provided to the clients
2016/2251/EU Commission Delegated Regulation supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories with regard to regulatory technical standards for risk-mitigation techniques for OTC derivative contracts not cleared by a central counterparty
2017/389/EU Commission Delegated Regulation supplementing Regulation (EU) No 909/2014 of the European Parliament and of the Council as regards the parameters for the calculation of cash penalties for settlement fails and the operations of CSDs in host Member States
2017/390/EU Commission Delegated Regulation supplementing Regulation (EU) No 909/2014 of the European Parliament and of the Council with regard to regulatory technical standards on certain prudential requirements for central securities depositories and designated credit institutions offering banking-type ancillary services
2017/391/EU Commission Delegated Regulation supplementing Regulation (EU) No 909/2014 of the European Parliament and of the Council with regard to regulatory technical standards further specifying the content of the reporting on internalised settlements
2017/392/EU Commission Delegated Regulation supplementing Regulation (EU) No 909/2014 of the European Parliament and of the Council with regard to regulatory technical standards on authorisation, supervisory and operational requirements for central securities depositories
2017/393/EU Commission Implementing Regulation laying down implementing technical standards with regard to the templates and procedures for the reporting and transmission of information on internalised settlements in accordance with Regulation (EU) No 909/2014 of the European Parliament and of the Council
2017/394/EU Commission Implementing Regulation laying down implementing technical standards with regard to standard forms, templates and procedures for authorisation, review and evaluation of central securities depositories, for the cooperation between authorities of the home Member State and the host Member State, for the consultation of authorities involved in the authorisation to provide banking-type ancillary services, for access involving central securities depositories, and with regard to the format of the records to be maintained by central securities depositories in accordance with Regulation (EU) No 909/2014 of the European Parliament and of the Council
2017/461/EU Commission Implementing Regulation laying down implementing technical standards with regard to common procedures, forms and templates for the consultation process between the relevant competent authorities for proposed acquisitions of qualifying holdings in credit institutions as referred to in Article 24 of Directive 2013/36/EU of the European Parliament and of the Council (Note)
2017/565/EU Commission Delegated Regulation supplementing Directive 2014/65/EU of the European Parliament and of the Council as regards organisational requirements and operating conditions for investment firms and defined terms for the purposes of that Directive
2017/566/EU Commission Delegated Regulation supplementing Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards for the ratio of unexecuted orders to transactions in order to prevent disorderly trading conditions
2017/567/EU Commission Delegated Regulation supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to definitions, transparency, portfolio compression and supervisory measures on product intervention and positions
2017/568/EU Commission Delegated Regulation supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the admission of financial instruments to trading on regulated markets
2017/569/EU Commission Delegated Regulation supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the suspension and removal of financial instruments from trading
2017/570/EU Commission Delegated Regulation supplementing Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards for the determination of a material market in terms of liquidity in relation to notifications of a temporary halt in trading
2017/571/EU Commission Delegated Regulation supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards on the authorisation, organisational requirements and the publication of transactions for data reporting services providers (Note)
2017/572/EU Commission Delegated Regulation supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards on the specification of the offering of pre-and post-trade data and the level of disaggregation of data
2017/573/EU Commission Delegated Regulation supplementing Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on requirements to ensure fair and non-discriminatory co-location services and fee structures (Note)
2017/574/EU Commission Delegated Regulation supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the level of accuracy of business clocks (Note)
2017/575/EU Commission Delegated Regulation supplementing Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards concerning the data to be published by execution venues on the quality of execution of transactions
2017/576/EU Commission Delegated Regulation supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the annual publication by investment firms of information on the identity of execution venues and on the quality of execution
2017/577/EU Commission Delegated Regulation supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on the volume cap mechanism and the provision of information for the purposes of transparency and other calculations
2017/578/EU Commission Delegated Regulation supplementing Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards specifying the requirements on market making agreements and schemes
2017/579/EU Commission Delegated Regulation supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on the direct, substantial and foreseeable effect of derivative contracts within the Union and the prevention of the evasion of rules and obligations
2017/580/EU Commission Delegated Regulation supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the maintenance of relevant data relating to orders in financial instruments
2017/581/EU Commission Delegated Regulation supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards on clearing access in respect of trading venues and central counterparties
2017/582/EU Commission Delegated Regulation supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards specifying the obligation to clear derivatives traded on regulated markets and timing of acceptance for clearing
2017/583/EU Commission Delegated Regulation supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on transparency requirements for trading venues and investment firms in respect of bonds, structured finance products, emission allowances and derivatives
2017/584/EU Commission Delegated Regulation supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards specifying organisational requirements of trading venues (Note)
2017/585/EU Commission Delegated Regulation supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the data standards and formats for financial instrument reference data and technical measures in relation to arrangements to be made by the European Securities and Markets Authority and competent authorities (Note)
2017/587/EU Commission Delegated Regulation supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on transparency requirements for trading venues and investment firms in respect of shares, depositary receipts, exchange-traded funds, certificates and other similar financial instruments and on transaction execution obligations in respect of certain shares on a trading venue or by a systematic internaliser
2017/588/EU Commission Delegated Regulation supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards on the tick size regime for shares, depositary receipts and exchange-traded funds
2017/589/EU Commission Delegated Regulation supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards specifying the organisational requirements of investment firms engaged in algorithmic trading
2017/590/EU Commission Delegated Regulation supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the reporting of transactions to competent authorities
2017/591/EU Commission Delegated Regulation supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the application of position limits to commodity derivatives
2017/592/EU Commission Delegated Regulation supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the criteria to establish when an activity is considered to be ancillary to the main business
2017/593/EU Commission Delegated Directive supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to safeguarding of financial instruments and funds belonging to clients, product governance obligations and the rules applicable to the provision or reception of fees, commissions or any monetary or non-monetary benefits
2017/653/EU Commission Delegated Regulation supplementing Regulation (EU) No 1286/2014 of the European Parliament and of the Council on key information documents for packaged retail and insurance-based investment products (PRIIPs) by laying down regulatory technical standards with regard to the presentation, content, review and revision of key information documents and the conditions for fulfilling the requirement to provide such documents
2017/953/EU Commission Implementing Regulation laying down implementing technical standards with regard to the format and the timing of position reports by investment firms and market operators of trading venues pursuant to Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments
2017/980/EU Commission Implementing Regulation laying down implementing technical standards with regard to standard forms, templates and procedures for cooperation in supervisory activities, for on-site verifications, and investigations and exchange of information between competent authorities in accordance with Directive 2014/65/EU of the European Parliament and of the Council (Note)
2017/981/EU Commission Implementing Regulation laying down implementing technical standards with regard to standard forms, templates and procedures for the consultation of other competent authorities prior to granting an authorisation in accordance with Directive 2014/65/EU of the European Parliament and of the Council (Note)
2017/988/EU Commission Implementing Regulation laying down implementing technical standards with regard to standard forms, templates and procedures for cooperation arrangements in respect of a trading venue whose operations are of substantial importance in a host Member State (Note)
2017/1005/EU Commission Implementing Regulation laying down implementing technical standards with regard to the format and timing of the communications and the publication of the suspension and removal of financial instruments pursuant to Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments (Note)
2017/1018/EU Commission Delegated Regulation supplementing Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards specifying information to be notified by investment firms, market operators and credit institutions
2017/1093/EU Commission Implementing Regulation laying down implementing technical standards with regard to the format of position reports by investment firms and market operators
2017/1110/EU Commission Implementing Regulation laying down implementing technical standards with regard to the standard forms, templates and procedures for the authorisation of data reporting services providers and related notifications pursuant to Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments
2017/1111/EU Commission Implementing Regulation laying down implementing technical standards with regard to procedures and forms for submitting information on sanctions and measures in accordance with Directive 2014/65/EU of the European Parliament and of the Council (Note)
2017/1129/EU Regulation of the European Parliament and of the Council on the prospectus to be published when securities are offered to the public or admitted to trading on a regulated market, and repealing Directive 2003/71/EC
2017/1131/EU Regulation of the European Parliament and of the Council on money market funds
2017/1230/EU Commission Delegated Regulation supplementing Regulation (EU) No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards further specifying the additional objective criteria for the application of a preferential liquidity outflow or inflow rate for cross-border undrawn credit or liquidity facilities within a group or an institutional protection scheme
2017/1943/EU Commission Delegated Regulation supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards on information and requirements for the authorisation of investment firms
2017/1945/EU Commission Implementing Regulation laying down implementing technical standards with regard to notifications by and to applicant and authorised investment firms according to Directive 2014/65/EU of the European Parliament and of the Council
2017/1946/EU Commission Delegated Regulation supplementing Directives 2004/39/EC and 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for an exhaustive list of information to be included by proposed acquirers in the notification of a proposed acquisition of a qualifying holding in an investment firm
2017/2154/EU Commission Delegated Regulation supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards on indirect clearing arrangements
2017/2194/EU Commission Delegated Regulation supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to package orders
2017/2295/EU Commission Delegated Regulation supplementing Regulation (EU) No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards for disclosure of encumbered and unencumbered assets
2017/2382/EU Commission Implementing Regulation laying down implementing technical standards with regard to standard forms, templates and procedures for the transmission of information in accordance with Directive 2014/65/EU of the European Parliament and of the Council (Note)
2017/2402/EU Regulation of the European Parliament and of the Council laying down a general framework for securitisation and creating a specific framework for simple, transparent and standardised securitisation, and amending Directives 2009/65/EC, 2009/138/EC and 2011/61/EU and Regulations (EC) No 1060/2009 and (EU) No 648/2012
2017/2417/EU Commission Delegated Regulation supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on the trading obligation for certain derivatives
2018/480/EU Commission Delegated Regulation supplementing Regulation (EU) 2015/760 of the European Parliament and of the Council with regard to regulatory technical standards on financial derivative instruments solely serving hedging purposes, sufficient length of the life of the European long-term investment funds, assessment criteria for the market for potential buyers and valuation of the assets to be divested, and the types and characteristics of the facilities available to retail investors
2018/708/EU Commission Delegated Regulation laying down implementing technical standards with regard to the template to be used by managers of money market funds when reporting to competent authorities as stipulated by Article 37 of Regulation (EU) 2017/1131 of the European Parliament and of the Council
2018/728/EU Commission Delegated Regulation supplementing Regulation (EU) No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards for procedures for excluding transactions with non-financial counterparties established in a third country from the own funds requirement for credit valuation adjustment risk
2018/990/EU Commission Delegated Regulation amending and supplementing Regulation (EU) 2017/1131 of the European Parliament and of the Council with regard to simple, transparent and standardised (STS) securitisations and asset-backed commercial papers (ABCPs), requirements for assets received as part of reverse repurchase agreements and credit quality assessment methodologies
2018/1229/EU Commission Delegated Regulation supplementing Regulation (EU) No 909/2014 of the European Parliament and of the Council with regard to regulatory technical standards on settlement discipline
2019/356/EU Commission Delegated Regulation supplementing Regulation (EU) 2015/2365 of the European Parliament and of the Council with regard to regulatory technical standards specifying the details of securities financing transactions (SFTs) to be reported to trade repositories
2019/357/EU Commission Delegated Regulation supplementing Regulation (EU) 2015/2365 of the European Parliament and of the Council with regard to regulatory technical standards on access to details of securities financing transactions (SFTs) held in trade repositories
2019/358/EU Commission Delegated Regulation supplementing Regulation (EU) 2015/2365 of the European Parliament and of the Council with regard to regulatory technical standards on the collection, verification, aggregation, comparison and publication of data on securities financing transactions (SFTs) by trade repositories
2019/359/EU Commission Delegated Regulation supplementing Regulation (EU) 2015/2365 of the European Parliament and of the Council with regard to regulatory technical standards specifying the details of the application for registration and extension of registration as a trade repository
2019/363/EU Commission Implementing Regulation laying down implementing technical standards with regard to the format and frequency of reports on the details of securities financing transactions (SFTs) to trade repositories in accordance with Regulation (EU) 2015/2365 of the European Parliament and of the Council and amending Commission Implementing Regulation (EU) No 1247/2012 with regard to the use of reporting codes in the reporting of derivative contracts
2019/364/EU Commission Implementing Regulation laying down implementing technical standards with regard to the format of applications for registration and extension of registration of trade repositories in accordance with Regulation (EU) 2015/2365 of the European Parliament and of the Council
2019/365/EU Commission Implementing Regulation laying down implementing technical standards with regard to the procedures and forms for exchange of information on sanctions, measures and investigations in accordance with Regulation (EU) 2015/2365 of the European Parliament and of the Council
2019/815/EU Commission Delegated Regulation supplementing Directive 2004/109/EC of the European Parliament and of the Council with regard to regulatory technical standards on the specification of a single electronic reporting format
2019/820/EU Commission Delegated Regulation supplementing Regulation (EU) No 345/2013 of the European Parliament and of the Council with regard to conflicts of interest in the area of European venture capital funds
2019/876/EU Regulation of the European Parliament and of the Council amending Regulation (EU) No 575/2013 as regards the leverage ratio, the net stable funding ratio, requirements for own funds and eligible liabilities, counterparty credit risk, market risk, exposures to central counterparties, exposures to collective investment undertakings, large exposures, reporting and disclosure requirements, and Regulation (EU) No 648/2012
2019/979/EU Commission Delegated Regulation supplementing Regulation (EU) 2017/1129 of the European Parliament and of the Council with regard to regulatory technical standards on key financial information in the summary of a prospectus, the publication and classification of prospectuses, advertisements for securities, supplements to a prospectus, and the notification portal, and repealing Commission Delegated Regulation (EU) No 382/2014 and Commission Delegated Regulation (EU) 2016/301
2019/980/EU Commission Delegated Regulation supplementing Regulation (EU) 2017/1129 of the European Parliament and of the Council as regards the format, content, scrutiny and approval of the prospectus to be published when securities are offered to the public or admitted to trading on a regulated market, and repealing Commission Regulation (EC) No 809/2004
2019/1156/EU Regulation of the European Parliament and of the Council on facilitating cross-border distribution of collective investment undertakings and amending Regulations (EU) No 345/2013, (EU) No 346/2013 and (EU) No 1286/2014
2019/2033/EU Regulation of the European Parliament and of the Council on the prudential requirements of investment firms and amending Regulations (EU) No 1093/2010, (EU) No 575/2013, (EU) No 600/2014 and (EU) No 806/2014
2019/2034/EU Directive of the European Parliament and of the Council on the prudential supervision of investment firms and amending Directives 2002/87/EC, 2009/65/EC, 2011/61/EU, 2013/36/EU, 2014/59/EU and 2014/65/EU
2019/2088/EU Regulation of the European Parliament and of the Council on sustainability-related disclosures in the financial services sector
2019/2162/EU Directive of the European Parliament and of the Council on the issue of covered bonds and covered bond public supervision and amending Directives 2009/65/EC and 2014/59/EU (Note)
2020/447/EU Commission Delegated Regulation supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on the specification of criteria for establishing the arrangements to adequately mitigate counterparty credit risk associated with covered bonds and securitisations, and amending Delegated Regulations (EU) 2015/2205 and (EU) 2016/1178
2020/852/EU Regulation of the European Parliament and of the Council on the establishment of a framework to facilitate sustainable investment, and amending Regulation (EU) 2019/2088
2020/1303/EU Commission Delegated Regulation supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to the criteria that ESMA should take into account to determine whether a central counterparty established in a third country is systemically important or likely to become systemically important for the financial stability of the Union or of one or more of its Member States (Note)
2020/1304/EU Commission Delegated Regulation supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to the minimum elements to be assessed by ESMA when assessing third-country CCPs' requests for comparable compliance and the modalities and conditions of that assessment (Note)
2020/1503/EU Regulation of the European Parliament and of the Council on European crowdfunding service providers for business, and amending Regulation (EU) 2017/1129 and Directive (EU) 2019/1937 (Note)
2020/1818/EU Commission Delegated Regulation supplementing Regulation (EU) 2016/1011 of the European Parliament and of the Council as regards minimum standards for EU Climate Transition Benchmarks and EU Paris-aligned Benchmarks
2021/453/EU Commission Delegated Regulation laying down implementing technical standards for the application of Regulation (EU) No 575/2013 of the European Parliament and of the Council with regard to the specific reporting requirements for market risk
2021/528/EU Commission Delegated Regulation supplementing Regulation (EU) 2017/1129 of the European Parliament and of the Council as regards the minimum information content of the document to be published for a prospectus exemption in connection with a takeover by means of an exchange offer, a merger or a division
2021/637/EU Commission Implementing Regulation laying down implementing technical standards with regard to public disclosures by institutions of the information referred to in Titles II and III of Part Eight of Regulation (EU) No 575/2013 of the European Parliament and of the Council and repealing Commission Implementing Regulation (EU) No 1423/2013, Commission Delegated Regulation (EU) 2015/1555, Commission Implementing Regulation (EU) 2016/200 and Commission Delegated Regulation (EU) 2017/2295
2021/923/EU Commission Delegated Regulation supplementing Directive 2013/36/EU of the European Parliament and of the Council with regard to regulatory technical standards setting out the criteria to define managerial responsibility, control functions, material business units and a significant impact on a material business unit's risk profile, and setting out criteria for identifying staff members or categories of staff whose professional activities have an impact on the institution's risk profile that is comparably as material as that of staff members or categories of staff referred to in Article 92(3) of that Directive
2021/1456/EU Commission Delegated Regulation supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council by specifying the conditions under which the commercial terms for clearing services for OTC derivatives are to be considered to be fair, reasonable, non-discriminatory and transparent
2021/1833/EU Commission Delegated Regulation supplementing Directive 2014/65/EU of the European Parliament and of the Council by specifying the criteria for establishing when an activity is to be considered to be ancillary to the main business at group level
2021/2153/EU Commission Delegated Regulation supplementing Directive (EU) 2019/2034 of the European Parliament and of the Council with regard to regulatory technical standards specifying the criteria for subjecting certain investment firms to the requirements of Regulation (EU) No 575/2013
2021/2154/EU Commission Delegated Regulation supplementing Directive (EU) 2019/2034 of the European Parliament and of the Council with regard to regulatory technical standards specifying appropriate criteria to identify categories of staff whose professional activities have a material impact on the risk profile of an investment firm or of the assets that it manages
2021/2155/EU Commission Delegated Regulation supplementing Directive (EU) 2019/2034 of the European Parliament and of the Council with regard to regulatory technical standards specifying the classes of instruments that adequately reflect the credit quality of the investment firm as a going concern and possible alternative arrangements that are appropriate to be used for the purposes of variable remuneration
2021/2284/EU Commission Implementing Regulation laying down implementing technical standards for the application of Regulation (EU) 2019/2033 of the European Parliament and of the Council with regard to supervisory reporting and disclosures of investment firms
2022/25/EU Commission Delegated Regulation supplementing Regulation (EU) 2019/2033 of the European Parliament and of the Council with regard to regulatory technical standards specifying the methods for measuring the K-factors referred to in Article 15 of that Regulation
2022/26/EU Commission Delegated Regulation supplementing Regulation (EU) 2019/2033 of the European Parliament and of the Council with regard to regulatory technical standards specifying the notion of segregated accounts to ensure client money's protection in the event of an investment firm's failure
2022/76/EU Commission Delegated Regulation supplementing Regulation (EU) 2019/2033 of the European Parliament and of the Council with regard to regulatory technical standards specifying adjustments to the K-factor 'daily trading flow' (K-DTF) coefficients
2022/244/EU Commission Delegated Regulation supplementing Regulation (EU) 2019/2033 of the European Parliament and of the Council with regard to regulatory technical standards specifying the amount of total margin for the calculation of the K-factor 'clear margin given' (K-CMG)
2022/858/EU Regulation of the European Parliament and of the Council on a pilot regime for market infrastructures based on distributed ledger technology, and amending Regulations (EU) No 600/2014 and (EU) No 909/2014 and Directive 2014/65/EU
2022/1011/EU Commission Delegated Regulation supplementing Regulation (EU) No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards specifying how to determine the indirect exposures to a client arising from derivatives and credit derivatives contracts where the contract was not directly entered into with the client but the underlying debt or equity instrument was issued by that client
2022/1159/EU Commission Delegated Regulation supplementing Regulation (EU) 2019/2033 of the European Parliament and of the Council with regard to regulatory technical standards for public disclosure of investment policy by investment firms
2022/1210/EU Commission Implementing Regulation laying down implementing technical standards for the application of Regulation (EU) No 596/2014 of the European Parliament and of the Council with regard to the format of insider lists and their updates
2022/1220/EU Commission Implementing Regulation laying down implementing technical standards for the application of Directive 2014/65/EU of the European Parliament and of the Council with regard to the format in which branches of third-country firms and competent authorities have to report the information referred to in Article 41(3) and (4) of that Directive
2022/1288/EU Commission Delegated Regulation supplementing Regulation (EU) 2019/2088 of the European Parliament and of the Council with regard to regulatory technical standards specifying the details of the content and presentation of the information in relation to the principle of 'do no significant harm', specifying the content, methodologies and presentation of information in relation to sustainability indicators and adverse sustainability impacts, and the content and presentation of the information in relation to the promotion of environmental or social characteristics and sustainable investment objectives in pre-contractual documents, on websites and in periodic reports
2022/1299/EU Commission Delegated Regulation supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards specifying the content of position management controls by trading venues
2022/1302/EU Commission Delegated Regulation supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the application of position limits to commodity derivatives and procedures for applying for exemption from position limits
2022/1455/EU Commission Delegated Regulation supplementing Regulation (EU) 2019/2033 of the European Parliament and of the Council with regard to regulatory technical standards for own funds requirement for investment firms based on fixed overheads
2022/1855/EU Commission Delegated Regulation supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards specifying the minimum details of the data to be reported to trade repositories and the type of reports to be used
2022/1858/EU Commission Delegated Regulation supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards specifying the procedures for the reconciliation of data between trade repositories and the procedures to be applied by the trade repository to verify the compliance by the reporting counterparty or submitting entity with the reporting requirements and to verify the completeness and correctness of the data reported
2022/1860/EU Commission Implementing Regulation laying down implementing technical standards for the application of Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to the standards, formats, frequency and methods and arrangements for reporting
2022/1959/EU Commission Delegated Regulation supplementing Regulation (EU) No 596/2014 of the European Parliament and of the Council with regard to regulatory technical standards setting out a contractual template for liquidity contracts for the shares of issuers whose financial instruments are admitted to trading on an SME growth market
2022/2454/EU Commission Implementing Regulation laying down implementing technical standards for the application of Directive 2002/87/EC of the European Parliament and of the Council with regard to supervisory reporting of risk concentrations and intra-group transactions
2022/2554/EU Regulation of the European Parliament and of the Council on digital operational resilience for the financial sector and amending Regulations (EC) No 1060/2009, (EU) No 648/2012, (EU) No 600/2014, (EU) No 909/2014 and (EU) 2016/1011
2022/2557/EU Directive of the European Parliament and of the Council on the resilience of critical entities and repealing Council Directive 2008/114/EC
2023/511/EU Commission Delegated Regulation supplementing Regulation (EU) No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards for the calculation of risk-weighted exposure amounts of collective investment undertakings under the mandate-based approach
2023/606/EU Regulation of the European Parliament and of the Council amending Regulation (EU) 2015/760 as regards the requirements pertaining to the investment policies and operating conditions of European long-term investment funds and the scope of eligible investment assets, the portfolio composition and diversification requirements and the borrowing of cash and other fund rules
2023/1113/EU Regulation of the European Parliament and of the Council on information accompanying transfers of funds and certain crypto-assets and amending Directive (EU) 2015/849
2023/1114/EU Regulation of the European Parliament and of the Council on markets in crypto-assets, and amending Regulations (EU) No 1093/2010 and (EU) No 1095/2010 and Directives 2013/36/EU and (EU) 2019/1937
2023/1651/EU Commission Delegated Regulation supplementing Directive (EU) 2019/2034 of the European Parliament and of the Council with regard to regulatory technical standards for the specific liquidity measurement of investment firms under Article 42(6) of that Directive
2023/1668/EU Commission Delegated Regulation supplementing Directive (EU) 2019/2034 of the European Parliament and of the Council with regard to regulatory technical standards specifying the measurement of risks or elements of risks not covered or not sufficiently covered by the own funds requirements set out in Parts Three and Four of Regulation (EU) 2019/2033 of the European Parliament and of the Council and the indicative qualitative metrics for the amounts of additional own funds
2023/2631/EU Regulation of the European Parliament and of the Council on European Green Bonds and optional disclosures for bonds marketed as environmentally sustainable and for sustainability-linked bonds (Note)
2023/2859/EU Regulation of the European Parliament and of the Council establishing a European single access point providing centralised access to publicly available information of relevance to financial services, capital markets and sustainability (Note)
2024/1728/EU Commission Delegated Regulation supplementing Regulation (EU) No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards specifying in which circumstances the conditions for identifying groups of connected clients are met
2024/1771/EU Commission Delegated Regulation on supplementing Regulation (EU) 2019/2033 of the European Parliament and of the Council with regard to regulatory technical standards specifying the details of the scope and methods for prudential consolidation of an investment firm group
2024/1780/EU Commission Delegated Regulation supplementing Regulation (EU) No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards specifying the conditions under which institutions are allowed to calculate KIRB in relation to the underlying exposures of a securitisation transaction
2024/2759/EU Commission Delegated Regulation supplementing Regulation (EU) 2015/760 of the European Parliament and of the Council with regard to regulatory technical standards specifying when derivatives will be used solely for hedging the risks inherent to other investments of the European long-term investment fund (ELTIF), the requirements for an ELTIF's redemption policy and liquidity management tools, the circumstances for the matching of transfer requests of units or shares of the ELTIF, certain criteria for the disposal of ELTIF assets, and certain elements of the costs disclosure
List of common names, etc, of main Regulations and Directives included in Part 6 (main Regulation/Directive in bold, with delegated and implementing Acts listed below)
AIFM Directive
AIFMD Level 2 Regulation
AIFMD Opt-in procedure Regulation
AIFMD - RTS determining types of AIFM
Bank Recovery & Resolution Directive (BRRD)
Benchmarks Regulation
Benchmarks Regulation - EU Climate Transition & EU Paris-aligned Benchmarks
Capital Requirements Directive IV (CRD IV)
CRD IV - ITS on functioning of colleges of supervisors
CRD IV - ITS re joint decision process
CRD IV - ITS with regard to standard forms, etc
CRD IV - RTS defining material exposures in the trading book
CRD IV - RTS on definition of material risk takers
CRD IV - RTS on liquidity coverage requirements for intra-group liquidity flows
CRD IV - RTS on passport notifications
CRD IV - RTS on variable remuneration in credit quality
CRD IV - RTS to define managerial responsibility, control functions, etc
Capital Requirements Regulation (CRR)
CRR - ITS on disclosure of own funds
CRR - ITS on indices
CRR - ITS on main indices & recognised exchanges
CRR - ITS on reporting requirements for market risk
CRR - ITS re supervisory reporting
CRR - RTS for calculation of risk-weighted exposure amounts of collective investment undertakings
CRR - RTS for determining CVA risk
CRR - RTS for excluding transactions with 3rd country NFCs from the own funds requirement for CVA risk
CRR - RTS for non-delta risk of options
CRR - RTS for own funds requirements
CRR - RTS for prudent valuation
CRR - RTS for specification of margin periods of risk
CRR - RTS on additional risk weights
CRR - RTS on calculation of KIRB re underlying exposures of a securitisation transaction
CRR - RTS on calculation of risk adjustments
CRR - RTS on definition of market
CRR - RTS on determination of indirect exposures
CRR - RTS on determining client exposure
CRR - RTS on identifying groups of connected clients
CRR - RTS on IRB and AMA Approaches
CRR - RTS on value of covered bonds & assets
Capital Requirements Regulation II (CRR II)
Consumer Rights Directive
Covered Bonds Directive
Central Securities Depositories Regulation (CSD Regulation)
CSD Regulation - Delegated Cash Penalties Regulation
CSD Regulation - ITS on standard forms, templates & procedures
CSD Regulation - ITS on templates etc for reporting etc of info on internalised settlements
CSD Regulation - RTS on authorisation, supervisory & operational requirements for CSDs
CSD Regulation - RTS on certain prudential requirements for CSDs etc
CSD Regulation - RTS on settlement discipline
CSD Regulation - RTS on the content of the reporting on internalised settlements
Cross-Border Distribution Regulation
Deposit Guarantee Schemes Directive (Recast)
Distance Marketing Directive
Distributed Ledger Technology Regulation
Digital Operational Resilience Act (DORA)
EMIR Regulation
EMIR - Central Counterparties Record-keeping Regulation
EMIR - FRANDT Regulation
EMIR - ITS on standards, formats, frequency & methods & arrangements for reporting
EMIR - RTS on capital requirements for Central Counterparties
EMIR - RTS on data to be reported to trade repositories (2022)
EMIR- RTS on extraterritoriality and anti-avoidance
EMIR- RTS on hypothetical capital for CCPs
EMIR - RTS on indirect clearing
EMIR - RTS on procedures for the reconciliation of data between TRs
EMIR - RTS on publication of data by Trade Repositories
EMIR - RTS on registration of Trade Repositories
EMIR - RTS on recognition of Central Counterparties
EMIR - RTS on risk-mitigation techniques
EMIR - RTS on the clearing obligation (2015)
EMIR - RTS on the clearing obligation (No 1 of 2016)
EMIR - RTS on the clearing obligation (No 2 of 2016)
EMIR - Trade Repositories Registration Regulation
EMIR - Trade Repositories Reporting Regulation (2022)
EU Green Bonds Regulation
European Long-term Investment Funds Regulation (ELTIF Regulation)
ELTIF 2 Regulation
ELTIF Regulation - Miscellaneous RTS for the ELTIF Regulation
ELTIF Regulation - RTS re derivatives & hedging etc
European Single Acess Point Regulation
European Venture Capital Funds Regulation (EuVECA Regulation)
EuVECA Regulation - Delegated Act on conflicts of interest in EuVECAs
EuVECA Regulation Implementing Regulation
Financial Collateral Directive
Financial Conglomerates Directive
Financial Conglomerates Directive - ITS on risk concentration & intra-group transactions
Financial Conglomerates Directive - RTS for financial conglomerates
Financial Conglomerates Directive - RTS on risk concentration & intra-group transactions
Investment Firms Directive
IFD - criteria for subjecting investment firms to the CRR
IFD - RTS on risks not covered etc by the own funds requirements
IFD - RTS on the risk profile of an investment firm
IFD - RTS specifying the classes of instruments that reflect the credit quality of the investment firm
IFD - RTS on specific liquidity measurement of investment firms under Art 42(6)
Investment Firms Regulation
IFR - ITS re supervisory reporting & disclosures of investment firms
IFR - RTS for own funds requirement based on fixed overheads
IFR - RTS on disclosure of investment policy by investment firms
IFR - RTS on methods for measuring K-factors
IFR - RTS on prudential consolidation of an investment firm group
IFR - RTS specifying adjustments to the K-factor 'daily trading flow' coefficients
IFR - RTS specifying the notion of segregated accounts
IFR - RTS specifying the total margin for the calculation of the K-factor 'clear margin given'
Investor Compensation Schemes Directive
Listing Directive
Management Company Directive
Market Abuse Directive (2014) (MAD II)
Market Abuse Regulation (MAR)
MAR - Buy-back & stabilisation Regulation
MAR - ITS on market soundings
MAR - ITS on financial instrument reference data
MAR - ITS on insider lists format (2016)
MAR - ITS on insider lists format (2022)
MAR - ITS on managers' transactions
MAR - ITS on the technical means for public disclosure of inside information
MAR - Miscellaneous matters
MAR - Reporting of Infringements Directive
MAR - RTS on abusive practices etc
MAR - RTS on accepted market practices
MAR - RTS on a contractual template for liquidity contracts
MAR - RTS on market soundings
MAR - RTS on financial instrument reference data
MAR - RTS on investment recommendations etc
Markets in Crypto-Assets Regulation (MiCA)
Markets in Financial Instruments Directive II (MiFID II)
MiFID II - ITS on description etc of MTFs and OTFs
MiFID II - ITS on format of position reports by investment firms & market operators
MiFID II - ITS on forms & procedures etc for the authorisation of data reporting services providers
MiFID II - ITS on notifications by and to applicants and authorised investment firms
MiFID II - ITS on position reports (investment firms & market operators of trading venues)
MiFID II - ITS on the format of Article 41(3) & (4) reporting requirements
MiFID II - Package orders Regulation
MiFID II - regarding organisational requirements, etc
MiFID II - regarding the safeguarding of financial instruments & funds, etc
MiFID II - RTS on ancillary activities (2017)
MiFID II - RTS on ancillary activities (2021)
MiFID II - RTS on application of position limits to commodity derivatives
MiFID II - RTS on data to be published by execution venues
MiFID II - RTS on information and requirements for the authorisation of investment firms
MiFID II - RTS on information to be included in the notification of a proposed acquisition of a qualifying holding in an investment firm
MiFID II - RTS on information to be notified by investment firms, market operators & credit institutions
MiFID II - RTS on position management controls by trading venues
MiFID II - RTS on requirements on market making agreements & schemes
MiFID II - RTS on the admission of financial instruments to trading
MiFID II - RTS on the determination of a material market
MiFID II - RTS on the publication by investment firms of information on the identity of execution venues, etc
MiFID II - RTS on the requirements of investment firms engaged in algorithmic trading
MiFID II - RTS on the suspension & removal of financial instruments from trading
MiFID II - RTS on the tick size regime for shares, depositary receipts & exchange-traded funds
MiFID II - RTS to prevent disorderly trading conditions
MiFID II - RTS on the application of position limits to commodity derivatives
MiFID I Implementing Directive
MiFID I Implementing Regulation
Markets in Financial Instruments Regulation (MiFIR)
MiFIR - Product intervention & positions
MiFIR - RTS on access in respect of benchmarks
MiFIR - RTS on clearing access in respect of trading venues & CCPs
MiFIR - RTS on derivatives etc
MiFIR - RTS on indirect clearing arrangements
MiFIR - RTS on pre-and post-trade data
MiFIR - RTS on registration of third-country firms etc
MiFIR - RTS on the clearing of derivatives
MiFIR - RTS on the effect of derivative contracts & prevention of rule evasion
MiFIR - RTS on the maintenance of relevant data
MiFIR - RTS on the reporting of transactions to competent authorities
MiFIR - RTS on the trading obligation for certain derivatives
MiFIR - RTS on the volume cap mechanism, etc
MiFIR - RTS on transparency requirements in respect of bonds, structured finance products, emission allowances & derivatives
MiFIR - RTS on transparency requirements in respect of shares, depositary receipts, exchange-traded funds, certificates, etc
Money Markets Funds Regulation
Money Markets Funds Regulation - Delegated Act on investment requirements
Money Markets Funds Regulation - Template for managers of MMFs for reporting to NCAs under Art 37 of the MMFR
Non-EU AIFM Regulation
Payment Accounts Directive
Payment Services Directive 2
PRIIPs Regulation
PRIIPs Product Intervention Regulation
PRIIPs - RTS on the content, review & revision of key information documents, etc
Prospectus Regulation
Prospectus Regulation - Delegated Act on format, content, etc of prospectuses
Prospective Regulation - Minimum Information Content for Exemption Document
Prospective Regulation - RTS on key financial information
Resilience of Critical Entities Directive
Revised Wire Transfer Regulation
Second E-Money Directive
Securities Financing Transactions Regulation (SFT Regulation)
SFT Regulation - ITS on exchange of information
SFT Regulation - ITS on format of applications for registration etc of trade repositories
SFT Regulation - ITS on reporting of SFTs
SFT Regulation - RTS on application for registration as a trade repository etc
SFT Regulation - RTS on data on SFTs
SFT Regulation - RTS on reporting to trade repositories
SFT Regulation - RTS on SFTs held in trade repositories
Securitisation Regulation
Settlement Finality Directive
Short Selling Regulation
Short Selling Regulation - Delegated Regulation on short selling & CDS
Short Selling Regulation - RTS on notification etc
Short Selling & Credit Default Swaps Supplemental Regulation
Short Selling Disclosure Regulation
Sustainable Finance Disclosure Regulation (SFDR)
SFDR (RTS on the principle of 'do no significant harm')
Sustainable Investment (Taxonomy) Regulation
Transfer of Funds Regulation
Transparency Directive
Transparency Implementing Directive
Transparency Directive - RTS on the EEAP
Transparency Directive - RTS on the single electronic reporting format
Transparency Directive - RTS on major holdings
UCITS Directive (Recast)
UCITS Implementing Directive
UCITS Key Investor Information Regulation (Recast)
UCITS Master-Feeder Structures Directive (Recast)
UCITS - obligations of depositaries Regulation
Unfair Contract Terms Directive
