SSIF - societăți de servicii de investiții financiare

Primary legislation / European regulations

Secondary legislation

Law no. 126/2018 regarding financial instruments1  

GEO no. 99/2006 on credit institutions and capital adequacy, approved by Law no. 227/2007

Commission Delegated Regulation (EU) 2017/565 of 25 April 2016 supplementing Directive 2014/65 / EU of the European Parliament and of the Council as regards the organizational requirements and operating conditions applicable to investment firms and the terms defined for the purposes of that Directive

Commission Delegated Regulation (EU) 2017/1943 of 14 July 2016 supplementing Directive 2014/65 / EU of the European Parliament and of the Council as regards regulatory technical standards on information and authorization requirements for investment firms

Commission Implementing Regulation (EU) 2017/1945 of 19 June 2017 laying down implementing technical standards for notifications made in accordance with Directive 2014/65 / EU of the European Parliament and of the Council by and to applicant investment firms and authorized investment firms

Commission Delegated Regulation (EU) 2017/1946 of 11 July 2017 supplementing Directives 2004/39 / EC and 2014/65 / EU of the European Parliament and of the Council as regards regulatory technical standards for the establishment of an exhaustive list of information to be included by potential purchasers in the notification of a proposed acquisition of a qualifying holding in an investment firm

 

Regulation (EU) no. Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 1095/2010 648/2012 (MiFIR) - consolidated

 

Regulations

REGULAMENT nr. 24/2020 pentru modificarea art. 2 alin. (2) din Regulamentul Autorității de Supraveghere Financiară nr. 11/2018 privind aplicarea unor prevederi ale art. 104 din Legea nr. 126/2018 privind piețele de instrumente financiare

Regulament A.S.F./B.N.R. 23/10/2020 pentru modificarea alin. (2) al art. 21 din Reg. ASF/BNR nr.10/4/2018 privind protejarea instrumentelor financiare și a fondurilor care aparțin clienților, obligațiile de guvernanță a produsului și normele aplicabile

Regulament ASF/BNR nr. 18/8/2020 pentru modificarea și completarea Regulamentului Autorității de Supraveghere Financiară și al Băncii Naționale a României nr. 14/7/2018 privind prestarea de servicii și activități de investiții în numele societăților de servicii de investiții financiare și al instituțiilor de credit

ASF / NBR Regulation no. 12/3/2019 for amending and supplementing the ASF / NBR Regulation no. 14/7/2018 regarding the provision of services and investment activities on behalf of financial investment companies and credit institutions

Regulamentul nr. 11/2019 pentru modificarea şi completarea Regulamentului Autorităţii de Supraveghere Financiară nr. 3/2014 privind unele aspecte legate de aplicarea Ordonanţei de urgenţă a Guvernului nr. 99/2006 privind instituţiile de credit şi adecvarea capitalului şi a Regulamentului (UE) nr. 575/2013 al Parlamentului European şi al Consiliului din 26 iunie 2013 privind cerinţele prudenţiale pentru instituţiile de credit şi firmele de investiţii şi de modificare a Regulamentului (UE) nr. 648/2012

Regulation no. 5/2019 regarding the regulation of certain requirements regarding the provision of investment services and activities according to Law no. 126/2018 on financial instrument markets

Regulamentul ASF/BNR nr.14/7/2018 privind prestarea de servicii și activități de investiții în numele societăților de servicii de investiții financiare și al instituțiilor de credit, cu modificările și completările ulterioare

Regulamentul A.S.F./B.N.R. nr. 10/4/2018 privind protejarea instrumentelor financiare și a fondurilor care aparțin clienților, obligațiile de guvernanță a produsului și normele aplicabile la acordarea sau primirea de onorarii, comisioane sau alte tipuri de beneficii pecuniare sau nepecuniare, modificat și completat prin Regulamentul A.S.F./B.N.R. nr. 23/10/2020

Regulation no. 11/2018 on the application of some provisions of art. 104 of Law no. 126/2018 on financial instrument markets

Regulation no. 6/2018 for amending and supplementing the ASF Regulation no. 3/2014 on some aspects related to the application of Government Emergency Ordinance no. 99/2006 regarding credit institutions and capital adequacy and Regulation (EU) no. 575/2013 of the European Parliament and of the Council held on June 26th 2013 on prudential requirements for credit institutions and investment firms and amending the Regulation (EU) No. 648/2012

Regulation no. 6/2016 for the amendment and supplementation of Regulation No. 32/2006 of the National Securities Commission regarding financial investment services, approved by Order No. 121/2006 of the National Securities Commission and for the amendment of Regulation No. 5/2010 of the National Securities Commission regarding the use of global accounts system, mechanisms application with and without pre-validation of financial instruments, performance of securities borrowing operations, of operations to set up their related guarantees and of sale transactions in absence, approved by the Order No. 10/2010 of the National Securities Commission

Regulamentul ASF nr. 3/2016 privind criteriile aplicabile şi procedura pentru evaluarea prudenţială a achiziţiilor şi majorărilor participaţiilor la entităţile reglementate de A.S.F., cu modificările și completările ulterioare

Regulation no. 3/ 2014 On Certain Issues Related to the Application of Government Emergency Ordinance No. 99/2006 on credit institutions and capital adequacy and Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 on prudential requirements for credit institutions and investment firms and amending Regulation (EU) No 648/2012

Rules

Rule no. 14/2018 for the application of the Guidelines on MiFID II product governance requirements

Norma A.S.F. nr. 23/2019 privind aplicarea Ghidului ESMA pentru aplicarea secțiunilor C punctul 6 și C punctul 7 din anexa 1 la MiFID II

 

Decisions

Decizia ASF nr.44/20.02.2014

 

Reglementari cerinte de capital SSIF 

Q&A Intermediari 

Rezolutie si redresare

 

TABEL DE CONCORDANȚĂ: Directiva 2014/65/UE  – Legea nr. 126/2018 privind piețele de instrumente financiare

 

Legislatie europeana MIFID II / MIFIR

Tabelul Centralizatorul Standardelor Tehnice MIFID II/ MIFIR 

Anunțuri MIFID II/ MIFIR

 

 


25/02/2021
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