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C202 CIFs - France’s national legislation regarding the prohibition of electronic advertising to retail investors when offering speculative, complex and risky products in the territory of France
C202 CIFs - France’s national legislation regarding the prohibition of electronic advertising to retail investors when offering speculative, complex and risky products in the territory of France
12 April 2017
C201 to CIFs - Possible impact of the UK’s exit from the EU on the activities and services of Cyprus Investment Firms
C201 to CIFs - Possible impact of the UK’s exit from the EU on the activities and services of Cyprus Investment Firms
12 April 2017
C198 to CIFs - Changes in the form regarding the submission of complaints
C198 to CIFs - Changes in the form regarding the submission of complaints
11 April 2017
C199 CIFs - ESMA CFDs Q&As updated 31-3-2017
C199 CIFs - ESMA CFDs Q&As updated 31-3-2017
06 April 2017
C197 CIFs, ASPs, UCITS, UCITS MC, AIFMs, AIFs, AIFLNPs - ESAs Joint Opinion on the risks of money laundering and terrorist financing affecting the Union’s financial sector
C197 CIFs, ASPs, UCITS, UCITS MC, AIFMs, AIFs, AIFLNPs - ESAs Joint Opinion on the risks of money laundering and terrorist financing affecting the Union’s financial sector
03 April 2017
C196 CIFs, ASPs, UCITS, UCITS MC, AIFMs, AIFs, AIFLNPs - Article 68C of the Prevention and Suppression of Money Laundering and Terrorist Financing Law of 2007
C196 CIFs, ASPs, UCITS, UCITS MC, AIFMs, AIFs, AIFLNPs - Article 68C of the Prevention and Suppression of Money Laundering and Terrorist Financing Law of 2007
31 March 2017
C194 to CIFs regarding offering bonuses to retail investors
C194 to CIFs regarding offering bonuses to retail investors
16 March 2017
C186 CIFs, UCITS, M.C. UCITS, AIFs, AIFMs, ASPs, AIFLNPs - Executive Summary in the Compliance Officer’s Annual Report and the Internal Audit Report on the prevention of money laundering and terrorist financing
C186 CIFs, UCITS, M.C. UCITS, AIFs, AIFMs, ASPs, AIFLNPs - Executive Summary in the Compliance Officer’s Annual Report and the Internal Audit Report on the prevention of money laundering and terrorist financing
03 March 2017
C192 CIFs - Freedom to provide investment and ancillary services and/or perform investment activities in a third country
C192 CIFs - Freedom to provide investment and ancillary services and/or perform investment activities in a third country
03 March 2017
C191 CIF, ASP, M.C. UCITS, UCITS, AIF, AIFM - Compliance with reporting and other obligations
C191 CIF, ASP, M.C. UCITS, UCITS, AIF, AIFM - Compliance with reporting and other obligations
01 March 2017
C189 CIFs, ASPs, UCITS, UCITS Μ.C., AIFMs, AIFs, AIFLNPs - Findings of the assessment of the Compliance Officers' Annual Reports and the Internal Audit Reports on the prevention of money laundering and terrorist financing
C189 CIFs, ASPs, UCITS, UCITS Μ.C., AIFMs, AIFs, AIFLNPs - Findings of the assessment of the Compliance Officers' Annual Reports and the Internal Audit Reports on the prevention of money laundering and terrorist financing
22 February 2017
C184 CIFs, UCITS, AIFM - Executive Summary in the reports of the Compliance, Risk Management and Internal Audit Functions
C184 CIFs, UCITS, AIFM - Executive Summary in the reports of the Compliance, Risk Management and Internal Audit Functions
09 February 2017
C183 CIFs - Report on Good Supervisory practices for reducing mechanistic reliance on credit ratings
C183 CIFs - Report on Good Supervisory practices for reducing mechanistic reliance on credit ratings
08 February 2017
C181 CIFs - Obligations of CIFs when providing information to clients on the services and instruments offrered
C181 CIFs - Obligations of CIFs when providing information to clients on the services and instruments offrered
02 February 2017
C180 CIFs - Data collection exercise by the European Banking Authority for the potential reform of prudential requirements applicable to MiFID investment firms including the extent to which the new regime would also be suitable for or adaptable to specialised commodity derivatives firms.
C180 CIFs - Data collection exercise by the European Banking Authority for the potential reform of prudential requirements applicable to MiFID investment firms including the extent to which the new regime would also be suitable for or adaptable to specialised commodity derivatives firms.
01 February 2017
C179 CIFs - Collection of information on financial instruments offered by CIFs
C179 CIFs - Collection of information on financial instruments offered by CIFs
31 January 2017
C169 CIFs - European Banking Authority 'Revised guidelines on the further specification of the indicators of global systemic importance and their disclosure'
C169 CIFs - European Banking Authority 'Revised guidelines on the further specification of the indicators of global systemic importance and their disclosure'
07 December 2016
C168 CIFs - Updated version of ESMA’s Q&A document relating to the provision of CFDs and other speculative products
C168 CIFs - Updated version of ESMA’s Q&A document relating to the provision of CFDs and other speculative products
30 November 2016
C162 CIFs - Capital adequacy requirements - Change in the treatment of the Investors Compensation Fund contribution
C162 CIFs - Capital adequacy requirements - Change in the treatment of the Investors Compensation Fund contribution
11 October 2016
C161 CIFs, UCITS, AIFMs - Data collection exercise by the European Banking Authority for the potential reform of prudential requirements applicable to MiFID investment firms and firms providing services under MiFID
C161 CIFs, UCITS, AIFMs - Data collection exercise by the European Banking Authority for the potential reform of prudential requirements applicable to MiFID investment firms and firms providing services under MiFID
22 September 2016
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