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FMA - FINTECH IN LIECHTENSTEIN Financial technologies are an opportunity for Liechtenstein. The FMA pursues the approach of using and designing regulation in such a way that established financial service providers and new enterprises are able to implement their business models. If you wish to offer services in the field of FinTech in Liechtenstein, this is the place to find FMA - MANAGEMENT COMPANIES AND FUNDS ACCORDING TO THE Management Companies and Funds according to the UCITS Act Responsibilities of the supervisory authority under the UCITS Act. The FMA grants domestic undertakings for collective investment in transferable securities (UCITS) and their management companies authorisation under the UCITSG and notifies the cross-border marketing of UCITS in other EEA member states as well as the cross-border FMA - FINANCIAL STABILITY AND MACROPRUDENTIAL SUPERVISION Financial stability and macroprudential supervision. A stable financial system is a necessary condition for the efficient allocation of resources in an economy, for an effective risk management in the financial sector and the ability of the financial system to absorbfinancial shocks.
FMA - ANTI-MONEY LAUNDERING MONEYVAL is the Council of Europe's Committee of Experts on the Evaluation of Anti-Money Laundering Measures and the Financing of Terrorism. This FATF-style regional body has the mandate to ensure through mutual assessment of its member states that their AML/CFT measures meet the FATF standards. MONEYVAL is an associated member ofthe FATF and
FMA - SUSTAINABILITY IN THE FINANCIAL SECTOR Sustainability in the financial sector. Sustainable finance is understood in particular to refer to financial services in which the financial intermediaries integrate sustainability criteria, often referred to as environmental, social and governance (ESG) criteria, into their investment decisions. FMA - MARKET TRANSPARENCY UNDER MIFID II / MIFIR The Securities and Markets Division is responsible for, among other things, market-related reporting duties under MiFID II/MiFIR. New authorisations of market participants or changes to existing authorisations of market participants are governed by the relevant special laws. The Banking Division is responsible for investment firmsand banks
FMA - DIRECT DISTRIBUTION Direct distribution Direct distribution. As part of implementation of the Insurance Distribution Directive (EU) 2016/97 (IDD), the Insurance Distribution Act (VersVertG), the Insurance Distribution Ordinance (VersVertV), and the implementing and delegated acts on the IDD enacted by the European Commission will enter into force on 1 October 2018. The IDD also covers insurance undertakings that FMA - FMA - FINANCIAL MARKET AUTHORITYNOTICE: LAPSE OF A LICENCEWARNING NOTICENEWSREGULATIONFINANZMARKTAUFSICHT LIECHTENSTEIN Liechtenstein is an attractive financial centre with direct access to the European Single Market and the Swiss Market. The Liechtenstein FMA is the competent authority for licensing and admission of financial service providers. For information and enquiries, FMA specialists stand at your disposal. Contact: info@fma-li.li; further information. FMA - LICENCES AND AUTHORIZATIONS - FMA - FMA The FMA is the competent authority for issuing and amending licences and authorizations. The relevant information is included under the headings for the individual categories of financial intermediaries. FMA specialists are at your disposal for any questions if you are interested in obtaining a FMA - REGISTER OF LICENSEES - FMA - FMA Register of licensees. In accordance with the legal requirements, the FMA Liechtenstein maintains databases and lists: of the financial intermediaries with a Liechtenstein licence to pursue the activity in question, of foreign undertakings and natural persons which may operate across borders by virtue of the free movement of serviceswithin the
FMA - FINTECH IN LIECHTENSTEIN Financial technologies are an opportunity for Liechtenstein. The FMA pursues the approach of using and designing regulation in such a way that established financial service providers and new enterprises are able to implement their business models. If you wish to offer services in the field of FinTech in Liechtenstein, this is the place to find FMA - MANAGEMENT COMPANIES AND FUNDS ACCORDING TO THE Management Companies and Funds according to the UCITS Act Responsibilities of the supervisory authority under the UCITS Act. The FMA grants domestic undertakings for collective investment in transferable securities (UCITS) and their management companies authorisation under the UCITSG and notifies the cross-border marketing of UCITS in other EEA member states as well as the cross-border FMA - FINANCIAL STABILITY AND MACROPRUDENTIAL SUPERVISION Financial stability and macroprudential supervision. A stable financial system is a necessary condition for the efficient allocation of resources in an economy, for an effective risk management in the financial sector and the ability of the financial system to absorbfinancial shocks.
FMA - ANTI-MONEY LAUNDERING MONEYVAL is the Council of Europe's Committee of Experts on the Evaluation of Anti-Money Laundering Measures and the Financing of Terrorism. This FATF-style regional body has the mandate to ensure through mutual assessment of its member states that their AML/CFT measures meet the FATF standards. MONEYVAL is an associated member ofthe FATF and
FMA - SUSTAINABILITY IN THE FINANCIAL SECTOR Sustainability in the financial sector. Sustainable finance is understood in particular to refer to financial services in which the financial intermediaries integrate sustainability criteria, often referred to as environmental, social and governance (ESG) criteria, into their investment decisions. FMA - MARKET TRANSPARENCY UNDER MIFID II / MIFIR The Securities and Markets Division is responsible for, among other things, market-related reporting duties under MiFID II/MiFIR. New authorisations of market participants or changes to existing authorisations of market participants are governed by the relevant special laws. The Banking Division is responsible for investment firmsand banks
FMA - DIRECT DISTRIBUTION Direct distribution Direct distribution. As part of implementation of the Insurance Distribution Directive (EU) 2016/97 (IDD), the Insurance Distribution Act (VersVertG), the Insurance Distribution Ordinance (VersVertV), and the implementing and delegated acts on the IDD enacted by the European Commission will enter into force on 1 October 2018. The IDD also covers insurance undertakings that FMA - LICENCES AND AUTHORIZATIONS - FMA - FMA The FMA is the competent authority for issuing and amending licences and authorizations. The relevant information is included under the headings for the individual categories of financial intermediaries. FMA specialists are at your disposal for any questions if you are interested in obtaining a FMA - FINTECH IN LIECHTENSTEIN Financial technologies are an opportunity for Liechtenstein. The FMA pursues the approach of using and designing regulation in such a way that established financial service providers and new enterprises are able to implement their business models. If you wish to offer services in the field of FinTech in Liechtenstein, this is the place to find FMA - WARNING NOTICE: DCAPITAL(DOT)GLOBAL 08.06.2021. The Liechtenstein Financial Market Authority (FMA) points out that the operator of the website www(dot)dcapital(dot)global does not have a FMA authorisation and is therefore not allowed to provide any financial services that are subject to authorisation underLiechtenstein law.
FMA - REGULATION
Regulation. As an integrated supervisory authority, the FMA supervises banks and insurances as well as numerous other financial market participants. "Legal foundations for financial intermediaries" links to the legal foundations currently in force (laws, ordinances, guidelines, etc.) for the various categories of financialintermediaries.
FMA - EUROPE - FMA - FMA Europe. The FMA Liechtenstein is integrated into the European System of Financial Supervision. It consists of the European Systemic Risk Board and the three European supervisory authoriÂties: the European Banking Authority headÂquartered in Paris, the European Insurance and Occupational Pensions Authority headquarÂtered in Frankfurt, and the European Securities and Markets Authority FMA - TRUSTEES AND TRUST COMPANIES - FMA - FMA Trustees and trust companies. The total revision of the Professional Trustees Act created a comprehensive, efficient and internationally recognized supervision of the trust business. Consequently it is possible to combat abuse even more efficiently. Client protection is especially ensured by monitoring the licensing requirements and the compliance with the licensing conditions as well as by FMA - SUSTAINABILITY IN THE FINANCIAL SECTOR Sustainability in the financial sector. Sustainable finance is understood in particular to refer to financial services in which the financial intermediaries integrate sustainability criteria, often referred to as environmental, social and governance (ESG) criteria, into their investment decisions. FMA - BENCHMARKS REGULATION (BMR) - FMA - FMA The Benchmarks Regulation is the first regulation to define comprehensive requirements for administrators. Administrators must be licensed by the FMA and are supervised. They must have in place robust governance arrangements and take adequate steps to identify and to prevent or manage conflicts of interest between themselves and theFMA - EMIR
Regulation (EU) No. 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories (EMIR) entered into force on 16 August 2012. It regulates derivatives trading in the EU, the authorisation of central counterparties which are domiciled in the EU and the recognition, inthe
INSTRUCTION
Landstrasse 109 • Postfach 279 • 9490 Vaduz • Liechtenstein Telefon +423 236 73 73 • Telefax +423 236 73 74 • www.fma-li.li• info@fma-li.li
FMA - FMA - FINANCIAL MARKET AUTHORITYNOTICE: LAPSE OF A LICENCEWARNING NOTICENEWSREGULATIONFINANZMARKTAUFSICHT LIECHTENSTEIN Coronavirus epidemic. The FMA publishes relevant information in connection with the coronavirus epidemic on its website.. For financial service providers. Liechtenstein is an attractive financial centre with direct access to the European Single Market and the SwissMarket.
FMA - LICENCES AND AUTHORIZATIONS - FMA - FMA Licences and authorizations. The provision of financial services in Liechtenstein is subject to a licence. The FMA is the competent authority for issuing and amending licences and authorizations. FMA - REGISTER OF LICENSEES - FMA - FMA Register of licensees. In accordance with the legal requirements, the FMA Liechtenstein maintains databases and lists: of the financial intermediaries with a Liechtenstein licence to FMA - MANAGEMENT COMPANIES AND FUNDS ACCORDING TO THE Management Companies and Funds according to the UCITS Act Responsibilities of the supervisory authority under the UCITS Act. The FMA grants domestic undertakings for collective investment in transferable securities (UCITS) and their management companies authorisation under the UCITSG and notifies the cross-border marketing of UCITS in other EEA member states as well as the cross-border FMA - ANTI-MONEY LAUNDERING Anti-money laundering. For years, Liechtenstein has attached the utmost importance to anti-money laundering and combating the financing of terrorism (AML/CFT), FMA - ENCRYPTED E-MAIL COMMUNICATION Encrypted e-mail communication. Despite modern tools for electronic collaboration, e-mail remains an important means of communication in the business environment. FMA - FINANCIAL STABILITY AND MACROPRUDENTIAL SUPERVISION Financial stability and macroprudential supervision. A stable financial system is a necessary condition for the efficient allocation of resources in an economy, for an effective risk management in the financial sector and the ability of the financial system to absorbfinancial shocks.
FMA - MARKET TRANSPARENCY UNDER MIFID II / MIFIR Market transparency under MiFID II / MiFIR. What do MiFID II/MiFIR regulate? Together, MiFID II and MiFIR establish the legal framework governing the requirements applicable to investment firms, trading venues, data reporting service providers and third-country firms providing investment services or activities in the Union. FMA - DIRECT DISTRIBUTION Direct distribution Direct distribution. As part of implementation of the Insurance Distribution Directive (EU) 2016/97 (IDD), the Insurance Distribution Act (VersVertG), the Insurance Distribution Ordinance (VersVertV), and the implementing and delegated acts on the IDD enacted by the European Commission will enter into force on 1 October 2018. The IDD also covers insurance undertakings that FMA GUIDELINES 2018/19 LICENCE AS A BANK OR AN INVESTMENT FIRM Landstrasse 109 • P.O. Box 279 • 9490 Vaduz • Liechtenstein Telephone +423 236 73 73 • Fax +423 236 73 74 • www.fma-li.li •info@fma-li.li
FMA - FMA - FINANCIAL MARKET AUTHORITYNOTICE: LAPSE OF A LICENCEWARNING NOTICENEWSREGULATIONFINANZMARKTAUFSICHT LIECHTENSTEIN Coronavirus epidemic. The FMA publishes relevant information in connection with the coronavirus epidemic on its website.. For financial service providers. Liechtenstein is an attractive financial centre with direct access to the European Single Market and the SwissMarket.
FMA - LICENCES AND AUTHORIZATIONS - FMA - FMA Licences and authorizations. The provision of financial services in Liechtenstein is subject to a licence. The FMA is the competent authority for issuing and amending licences and authorizations. FMA - REGISTER OF LICENSEES - FMA - FMA Register of licensees. In accordance with the legal requirements, the FMA Liechtenstein maintains databases and lists: of the financial intermediaries with a Liechtenstein licence to FMA - MANAGEMENT COMPANIES AND FUNDS ACCORDING TO THE Management Companies and Funds according to the UCITS Act Responsibilities of the supervisory authority under the UCITS Act. The FMA grants domestic undertakings for collective investment in transferable securities (UCITS) and their management companies authorisation under the UCITSG and notifies the cross-border marketing of UCITS in other EEA member states as well as the cross-border FMA - ANTI-MONEY LAUNDERING Anti-money laundering. For years, Liechtenstein has attached the utmost importance to anti-money laundering and combating the financing of terrorism (AML/CFT), FMA - ENCRYPTED E-MAIL COMMUNICATION Encrypted e-mail communication. Despite modern tools for electronic collaboration, e-mail remains an important means of communication in the business environment. FMA - FINANCIAL STABILITY AND MACROPRUDENTIAL SUPERVISION Financial stability and macroprudential supervision. A stable financial system is a necessary condition for the efficient allocation of resources in an economy, for an effective risk management in the financial sector and the ability of the financial system to absorbfinancial shocks.
FMA - MARKET TRANSPARENCY UNDER MIFID II / MIFIR Market transparency under MiFID II / MiFIR. What do MiFID II/MiFIR regulate? Together, MiFID II and MiFIR establish the legal framework governing the requirements applicable to investment firms, trading venues, data reporting service providers and third-country firms providing investment services or activities in the Union. FMA - DIRECT DISTRIBUTION Direct distribution Direct distribution. As part of implementation of the Insurance Distribution Directive (EU) 2016/97 (IDD), the Insurance Distribution Act (VersVertG), the Insurance Distribution Ordinance (VersVertV), and the implementing and delegated acts on the IDD enacted by the European Commission will enter into force on 1 October 2018. The IDD also covers insurance undertakings that FMA GUIDELINES 2018/19 LICENCE AS A BANK OR AN INVESTMENT FIRM Landstrasse 109 • P.O. Box 279 • 9490 Vaduz • Liechtenstein Telephone +423 236 73 73 • Fax +423 236 73 74 • www.fma-li.li •info@fma-li.li
FMA - FMA - FINANCIAL MARKET AUTHORITY Coronavirus epidemic. The FMA publishes relevant information in connection with the coronavirus epidemic on its website.. For financial service providers. Liechtenstein is an attractive financial centre with direct access to the European Single Market and the SwissMarket.
FMA - LICENCES AND AUTHORIZATIONS - FMA - FMA Licences and authorizations. The provision of financial services in Liechtenstein is subject to a licence. The FMA is the competent authority for issuing and amending licences and authorizations.FMA - REGULATION
Regulation. Legal foundations for financial intermediaries As an integrated supervisory authority, the FMA supervises banks and insurances as well as numerous other financial market participants. FMA - SUSTAINABILITY IN THE FINANCIAL SECTOR Sustainability in the financial sector. Sustainable finance is understood in particular to refer to financial services in which the financial intermediaries integrate sustainability criteria, often referred to as environmental, social and governance (ESG) criteria, into their investment decisions. FMA - ASSET MANAGEMENT COMPANIES - FMA - FMA Asset management companies Responsibilities of the supervisory authority pursuant to the Asset Management Act (AMA) The FMA monitors implementation of the Asset Management Act (VVG) and the associated Ordinance as well as compliance with the regulations and guidelinesbased thereon.
FMA - EXECUTIVE BOARD Executive Board. The Executive Board is responsible for the operational management and implementation of the strategic goals of the Board of Directors. FMA - TRUSTEES AND TRUST COMPANIES - FMA - FMA Trustees and trust companies Responsibilities of the supervisory authority. The Financial Market Authority (FMA) is responsible for the due diligence supervision of trustees and trust companies. FMA - ALTERNATIVE INVESTMENT FUND MANAGERS UNDER THE AIFM ACT Alternative investment fund managers under the AIFM Act Responsibilities of the supervisory authority under the Law on Alternative Investment Fund Managers (AIFM Act) FMA GUIDELINES 2018/19 LICENCE AS A BANK OR AN INVESTMENT FIRM Landstrasse 109 • P.O. Box 279 • 9490 Vaduz • Liechtenstein Telephone +423 236 73 73 • Fax +423 236 73 74 • www.fma-li.li •info@fma-li.li
03 VERWEISMITTEILUNG 022021 (psihkoxqjhq ]xu *ohlfkzhuwlj nhlw yrq 9huwudxolfknhlwvuhjhoxq jhq b'( 5hf rq wkh (txlyd ohqfh rq 7klug &rxqwulhv sgi hg h g g g f d d FMA - FMA - FINANCIAL MARKET AUTHORITYNOTICE: LAPSE OF A LICENCEWARNING NOTICENEWSREGULATIONFINANZMARKTAUFSICHT LIECHTENSTEIN Liechtenstein is an attractive financial centre with direct access to the European Single Market and the Swiss Market. The Liechtenstein FMA is the competent authority for licensing and admission of financial service providers. For information and enquiries, FMA specialists stand at your disposal. Contact: info@fma-li.li; further information. FMA - LICENCES AND AUTHORIZATIONS - FMA - FMA The FMA is the competent authority for issuing and amending licences and authorizations. The relevant information is included under the headings for the individual categories of financial intermediaries. FMA specialists are at your disposal for any questions if you are interested in obtaining a FMA - REGISTER OF LICENSEES - FMA - FMA Register of licensees. In accordance with the legal requirements, the FMA Liechtenstein maintains databases and lists: of the financial intermediaries with a Liechtenstein licence to pursue the activity in question, of foreign undertakings and natural persons which may operate across borders by virtue of the free movement of serviceswithin the
FMA - MANAGEMENT COMPANIES AND FUNDS ACCORDING TO THE Management Companies and Funds according to the UCITS Act Responsibilities of the supervisory authority under the UCITS Act. The FMA grants domestic undertakings for collective investment in transferable securities (UCITS) and their management companies authorisation under the UCITSG and notifies the cross-border marketing of UCITS in other EEA member states as well as the cross-border FMA - ENCRYPTED E-MAIL COMMUNICATION The FMA uses domain-based encryption for this purpose, in which e-mails are encrypted with the FMA's global certificate. For the initial setup, the certificates must be installed on both sides (by the communication partner and the FMA) on the involved e-mail gateways or mail servers. The SEPPmail product used by the FMA and the National FMA - ANTI-MONEY LAUNDERING MONEYVAL is the Council of Europe's Committee of Experts on the Evaluation of Anti-Money Laundering Measures and the Financing of Terrorism. This FATF-style regional body has the mandate to ensure through mutual assessment of its member states that their AML/CFT measures meet the FATF standards. MONEYVAL is an associated member ofthe FATF and
FMA - FINANCIAL STABILITY AND MACROPRUDENTIAL SUPERVISION Financial stability and macroprudential supervision. A stable financial system is a necessary condition for the efficient allocation of resources in an economy, for an effective risk management in the financial sector and the ability of the financial system to absorbfinancial shocks.
FMA - MARKET TRANSPARENCY UNDER MIFID II / MIFIR The Securities and Markets Division is responsible for, among other things, market-related reporting duties under MiFID II/MiFIR. New authorisations of market participants or changes to existing authorisations of market participants are governed by the relevant special laws. The Banking Division is responsible for investment firmsand banks
FMA - DIRECT DISTRIBUTION Direct distribution Direct distribution. As part of implementation of the Insurance Distribution Directive (EU) 2016/97 (IDD), the Insurance Distribution Act (VersVertG), the Insurance Distribution Ordinance (VersVertV), and the implementing and delegated acts on the IDD enacted by the European Commission will enter into force on 1 October 2018. The IDD also covers insurance undertakings that FMA GUIDELINES 2018/19 LICENCE AS A BANK OR AN INVESTMENT FIRM Landstrasse 109 • P.O. Box 279 • 9490 Vaduz • Liechtenstein Telephone +423 236 73 73 • Fax +423 236 73 74 • www.fma-li.li •info@fma-li.li
FMA - FMA - FINANCIAL MARKET AUTHORITYNOTICE: LAPSE OF A LICENCEWARNING NOTICENEWSREGULATIONFINANZMARKTAUFSICHT LIECHTENSTEIN Liechtenstein is an attractive financial centre with direct access to the European Single Market and the Swiss Market. The Liechtenstein FMA is the competent authority for licensing and admission of financial service providers. For information and enquiries, FMA specialists stand at your disposal. Contact: info@fma-li.li; further information. FMA - LICENCES AND AUTHORIZATIONS - FMA - FMA The FMA is the competent authority for issuing and amending licences and authorizations. The relevant information is included under the headings for the individual categories of financial intermediaries. FMA specialists are at your disposal for any questions if you are interested in obtaining a FMA - REGISTER OF LICENSEES - FMA - FMA Register of licensees. In accordance with the legal requirements, the FMA Liechtenstein maintains databases and lists: of the financial intermediaries with a Liechtenstein licence to pursue the activity in question, of foreign undertakings and natural persons which may operate across borders by virtue of the free movement of serviceswithin the
FMA - MANAGEMENT COMPANIES AND FUNDS ACCORDING TO THE Management Companies and Funds according to the UCITS Act Responsibilities of the supervisory authority under the UCITS Act. The FMA grants domestic undertakings for collective investment in transferable securities (UCITS) and their management companies authorisation under the UCITSG and notifies the cross-border marketing of UCITS in other EEA member states as well as the cross-border FMA - ENCRYPTED E-MAIL COMMUNICATION The FMA uses domain-based encryption for this purpose, in which e-mails are encrypted with the FMA's global certificate. For the initial setup, the certificates must be installed on both sides (by the communication partner and the FMA) on the involved e-mail gateways or mail servers. The SEPPmail product used by the FMA and the National FMA - ANTI-MONEY LAUNDERING MONEYVAL is the Council of Europe's Committee of Experts on the Evaluation of Anti-Money Laundering Measures and the Financing of Terrorism. This FATF-style regional body has the mandate to ensure through mutual assessment of its member states that their AML/CFT measures meet the FATF standards. MONEYVAL is an associated member ofthe FATF and
FMA - FINANCIAL STABILITY AND MACROPRUDENTIAL SUPERVISION Financial stability and macroprudential supervision. A stable financial system is a necessary condition for the efficient allocation of resources in an economy, for an effective risk management in the financial sector and the ability of the financial system to absorbfinancial shocks.
FMA - MARKET TRANSPARENCY UNDER MIFID II / MIFIR The Securities and Markets Division is responsible for, among other things, market-related reporting duties under MiFID II/MiFIR. New authorisations of market participants or changes to existing authorisations of market participants are governed by the relevant special laws. The Banking Division is responsible for investment firmsand banks
FMA - DIRECT DISTRIBUTION Direct distribution Direct distribution. As part of implementation of the Insurance Distribution Directive (EU) 2016/97 (IDD), the Insurance Distribution Act (VersVertG), the Insurance Distribution Ordinance (VersVertV), and the implementing and delegated acts on the IDD enacted by the European Commission will enter into force on 1 October 2018. The IDD also covers insurance undertakings that FMA GUIDELINES 2018/19 LICENCE AS A BANK OR AN INVESTMENT FIRM Landstrasse 109 • P.O. Box 279 • 9490 Vaduz • Liechtenstein Telephone +423 236 73 73 • Fax +423 236 73 74 • www.fma-li.li •info@fma-li.li
FMA - FMA - FINANCIAL MARKET AUTHORITY Liechtenstein is an attractive financial centre with direct access to the European Single Market and the Swiss Market. The Liechtenstein FMA is the competent authority for licensing and admission of financial service providers. For information and enquiries, FMA specialists stand at your disposal. Contact: info@fma-li.li; further information. FMA - LICENCES AND AUTHORIZATIONS - FMA - FMA The FMA is the competent authority for issuing and amending licences and authorizations. The relevant information is included under the headings for the individual categories of financial intermediaries. FMA specialists are at your disposal for any questions if you are interested in obtaining aFMA - REGULATION
Regulation. As an integrated supervisory authority, the FMA supervises banks and insurances as well as numerous other financial market participants. "Legal foundations for financial intermediaries" links to the legal foundations currently in force (laws, ordinances, guidelines, etc.) for the various categories of financialintermediaries.
FMA - ASSET MANAGEMENT COMPANIES - FMA - FMA With regard to audits, asset management companies are in principle supervised according to the indirect method. For this purpose, the FMA relies on the audit reports of the external audit firms, which in a sense act as an extended arm of the FMA. The FMA may choose, at its discretion, to perform the audit itself or to accompany audits. FMA - SUSTAINABILITY IN THE FINANCIAL SECTOR Sustainability in the financial sector. Sustainable finance is understood in particular to refer to financial services in which the financial intermediaries integrate sustainability criteria, often referred to as environmental, social and governance (ESG) criteria, into their investment decisions. FMA - EXECUTIVE BOARD The Executive Board is responsible for the operational management and implementation of the strategic goals of the Board of Directors. It ensures lawful, purposeful and economic execution of these tasks. The members of the Executive Board are elected by the Board of Directorsafter a
FMA - ALTERNATIVE INVESTMENT FUND MANAGERS UNDER THE AIFM ACT The FMA grants alternative investment fund managers (AIFMs) a license under the AIFMG and approves their managed alternative investment funds (AIFs). Risk managers and administrators may also be granted a licence under the AIFMG. The FMA has the power to revoke, withdraw, and amend licenses granted. As part of ongoing supervision of AIFMsand
FMA GUIDELINES 2018/19 LICENCE AS A BANK OR AN INVESTMENT FIRM Landstrasse 109 • P.O. Box 279 • 9490 Vaduz • Liechtenstein Telephone +423 236 73 73 • Fax +423 236 73 74 • www.fma-li.li •info@fma-li.li
FMA GUIDELINES 2017/20 4/21 on which the assessment period will expire. The date of the FMA’s confirmation letter will be decisive in this regard. 5.2 If the notification is incomplete, the FMA will confirm receipt of the notification within two working 03 VERWEISMITTEILUNG 022021 (psihkoxqjhq ]xu *ohlfkzhuwlj nhlw yrq 9huwudxolfknhlwvuhjhoxq jhq b'( 5hf rq wkh (txlyd ohqfh rq 7klug &rxqwulhv sgi hg h g g g f d d FMA - FMA - FINANCIAL MARKET AUTHORITYNOTICE: LAPSE OF A LICENCEWARNING NOTICENEWSREGULATIONFINANZMARKTAUFSICHT LIECHTENSTEIN Liechtenstein is an attractive financial centre with direct access to the European Single Market and the Swiss Market. The Liechtenstein FMA is the competent authority for licensing and admission of financial service providers. For information and enquiries, FMA specialists stand at your disposal. Contact: info@fma-li.li; further information. FMA - REGISTER OF LICENSEES - FMA - FMA Register of licensees. In accordance with the legal requirements, the FMA Liechtenstein maintains databases and lists: of the financial intermediaries with a Liechtenstein licence to pursue the activity in question, of foreign undertakings and natural persons which may operate across borders by virtue of the free movement of serviceswithin the
FMA - ENCRYPTED E-MAIL COMMUNICATION The FMA uses domain-based encryption for this purpose, in which e-mails are encrypted with the FMA's global certificate. For the initial setup, the certificates must be installed on both sides (by the communication partner and the FMA) on the involved e-mail gateways or mail servers. The SEPPmail product used by the FMA and the National FMA - MANAGEMENT COMPANIES AND FUNDS ACCORDING TO THE Management Companies and Funds according to the UCITS Act Responsibilities of the supervisory authority under the UCITS Act. The FMA grants domestic undertakings for collective investment in transferable securities (UCITS) and their management companies authorisation under the UCITSG and notifies the cross-border marketing of UCITS in other EEA member states as well as the cross-border FMA - ANTI-MONEY LAUNDERING MONEYVAL is the Council of Europe's Committee of Experts on the Evaluation of Anti-Money Laundering Measures and the Financing of Terrorism. This FATF-style regional body has the mandate to ensure through mutual assessment of its member states that their AML/CFT measures meet the FATF standards. MONEYVAL is an associated member ofthe FATF and
FMA - FINANCIAL STABILITY AND MACROPRUDENTIAL SUPERVISION Financial stability and macroprudential supervision. A stable financial system is a necessary condition for the efficient allocation of resources in an economy, for an effective risk management in the financial sector and the ability of the financial system to absorbfinancial shocks.
FMA - MARKET TRANSPARENCY UNDER MIFID II / MIFIR The Securities and Markets Division is responsible for, among other things, market-related reporting duties under MiFID II/MiFIR. New authorisations of market participants or changes to existing authorisations of market participants are governed by the relevant special laws. The Banking Division is responsible for investment firmsand banks
INSTRUCTION
Landstrasse 109 • Postfach 279 • 9490 Vaduz • Liechtenstein Telefon +423 236 73 73 • Telefax +423 236 73 74 • www.fma-li.li• info@fma-li.li
FMA GUIDELINES 2018/19 LICENCE AS A BANK OR AN INVESTMENT FIRM Landstrasse 109 • P.O. Box 279 • 9490 Vaduz • Liechtenstein Telephone +423 236 73 73 • Fax +423 236 73 74 • www.fma-li.li •info@fma-li.li
OF 17 DECEMBER 1996 ON THE LAW ON SUPERVISION OF INSURANCE 961.011 Liechtenstein Law Gazette Year 1997 No. 41 published on 24 January 1997 Ordinance of 17 December 1996 on the Law on Supervision of Insurance Undertakings FMA - FMA - FINANCIAL MARKET AUTHORITYNOTICE: LAPSE OF A LICENCEWARNING NOTICENEWSREGULATIONFINANZMARKTAUFSICHT LIECHTENSTEIN Liechtenstein is an attractive financial centre with direct access to the European Single Market and the Swiss Market. The Liechtenstein FMA is the competent authority for licensing and admission of financial service providers. For information and enquiries, FMA specialists stand at your disposal. Contact: info@fma-li.li; further information. FMA - REGISTER OF LICENSEES - FMA - FMA Register of licensees. In accordance with the legal requirements, the FMA Liechtenstein maintains databases and lists: of the financial intermediaries with a Liechtenstein licence to pursue the activity in question, of foreign undertakings and natural persons which may operate across borders by virtue of the free movement of serviceswithin the
FMA - ENCRYPTED E-MAIL COMMUNICATION The FMA uses domain-based encryption for this purpose, in which e-mails are encrypted with the FMA's global certificate. For the initial setup, the certificates must be installed on both sides (by the communication partner and the FMA) on the involved e-mail gateways or mail servers. The SEPPmail product used by the FMA and the National FMA - MANAGEMENT COMPANIES AND FUNDS ACCORDING TO THE Management Companies and Funds according to the UCITS Act Responsibilities of the supervisory authority under the UCITS Act. The FMA grants domestic undertakings for collective investment in transferable securities (UCITS) and their management companies authorisation under the UCITSG and notifies the cross-border marketing of UCITS in other EEA member states as well as the cross-border FMA - ANTI-MONEY LAUNDERING MONEYVAL is the Council of Europe's Committee of Experts on the Evaluation of Anti-Money Laundering Measures and the Financing of Terrorism. This FATF-style regional body has the mandate to ensure through mutual assessment of its member states that their AML/CFT measures meet the FATF standards. MONEYVAL is an associated member ofthe FATF and
FMA - FINANCIAL STABILITY AND MACROPRUDENTIAL SUPERVISION Financial stability and macroprudential supervision. A stable financial system is a necessary condition for the efficient allocation of resources in an economy, for an effective risk management in the financial sector and the ability of the financial system to absorbfinancial shocks.
FMA - MARKET TRANSPARENCY UNDER MIFID II / MIFIR The Securities and Markets Division is responsible for, among other things, market-related reporting duties under MiFID II/MiFIR. New authorisations of market participants or changes to existing authorisations of market participants are governed by the relevant special laws. The Banking Division is responsible for investment firmsand banks
INSTRUCTION
Landstrasse 109 • Postfach 279 • 9490 Vaduz • Liechtenstein Telefon +423 236 73 73 • Telefax +423 236 73 74 • www.fma-li.li• info@fma-li.li
FMA GUIDELINES 2018/19 LICENCE AS A BANK OR AN INVESTMENT FIRM Landstrasse 109 • P.O. Box 279 • 9490 Vaduz • Liechtenstein Telephone +423 236 73 73 • Fax +423 236 73 74 • www.fma-li.li •info@fma-li.li
OF 17 DECEMBER 1996 ON THE LAW ON SUPERVISION OF INSURANCE 961.011 Liechtenstein Law Gazette Year 1997 No. 41 published on 24 January 1997 Ordinance of 17 December 1996 on the Law on Supervision of Insurance Undertakings FMA - LICENCES AND AUTHORIZATIONS - FMA - FMA The FMA is the competent authority for issuing and amending licences and authorizations. The relevant information is included under the headings for the individual categories of financial intermediaries. FMA specialists are at your disposal for any questions if you are interested in obtaining aFMA - REGULATION
Regulation. As an integrated supervisory authority, the FMA supervises banks and insurances as well as numerous other financial market participants. "Legal foundations for financial intermediaries" links to the legal foundations currently in force (laws, ordinances, guidelines, etc.) for the various categories of financialintermediaries.
FMA - EUROPE - FMA - FMA Europe. The FMA Liechtenstein is integrated into the European System of Financial Supervision. It consists of the European Systemic Risk Board and the three European supervisory authoriÂties: the European Banking Authority headÂquartered in Paris, the European Insurance and Occupational Pensions Authority headquarÂtered in Frankfurt, and the European Securities and Markets Authority FMA - SUSTAINABILITY IN THE FINANCIAL SECTOR Sustainability in the financial sector. Sustainable finance is understood in particular to refer to financial services in which the financial intermediaries integrate sustainability criteria, often referred to as environmental, social and governance (ESG) criteria, into their investment decisions. FMA - DIRECT DISTRIBUTION Direct distribution Direct distribution. As part of implementation of the Insurance Distribution Directive (EU) 2016/97 (IDD), the Insurance Distribution Act (VersVertG), the Insurance Distribution Ordinance (VersVertV), and the implementing and delegated acts on the IDD enacted by the European Commission will enter into force on 1 October 2018. The IDD also covers insurance undertakings thatINSTRUCTION
Landstrasse 109 • Postfach 279 • 9490 Vaduz • Liechtenstein Telefon +423 236 73 73 • Telefax +423 236 73 74 • www.fma-li.li• info@fma-li.li
FMA GUIDELINES 2018/19 LICENCE AS A BANK OR AN INVESTMENT FIRM Landstrasse 109 • P.O. Box 279 • 9490 Vaduz • Liechtenstein Telephone +423 236 73 73 • Fax +423 236 73 74 • www.fma-li.li •info@fma-li.li
1. ENTWURF 17.07
952.1 1 Liechtenstein Law Gazette Year 2009 Nr. 47 published 29 January 2009 Law of 11 December 2008 on Professional Due Diligence toCombat
OF 17 DECEMBER 1996 ON THE LAW ON SUPERVISION OF INSURANCE 961.011 Liechtenstein Law Gazette Year 1997 No. 41 published on 24 January 1997 Ordinance of 17 December 1996 on the Law on Supervision of Insurance Undertakings APPLICATION FOR RELEASE OF A BLOCKED PENSION FUND ACCOUNT 2 Reason for cash payout (please mark the corresponding reason with a cross) The vested pension benefits are less than the employee contribution for one year (see page 4 for details). The following documents are to be attached: • Last annual pension statement and the final settlement of the last pension scheme; FMA - FMA - FINANCIAL MARKET AUTHORITYNOTICE: LAPSE OF A LICENCEWARNING NOTICENEWSREGULATIONFINANZMARKTAUFSICHT LIECHTENSTEIN Coronavirus epidemic. The FMA publishes relevant information in connection with the coronavirus epidemic on its website.. For financial service providers. Liechtenstein is an attractive financial centre with direct access to the European Single Market and the SwissMarket.
FMA - REGISTER OF LICENSEES - FMA - FMA Register of licensees. In accordance with the legal requirements, the FMA Liechtenstein maintains databases and lists: of the financial intermediaries with a Liechtenstein licence to FMA - MANAGEMENT COMPANIES AND FUNDS ACCORDING TO THE Management Companies and Funds according to the UCITS Act Responsibilities of the supervisory authority under the UCITS Act. The FMA grants domestic undertakings for collective investment in transferable securities (UCITS) and their management companies authorisation under the UCITSG and notifies the cross-border marketing of UCITS in other EEA member states as well as the cross-border FMA - ANTI-MONEY LAUNDERING Anti-money laundering. For years, Liechtenstein has attached the utmost importance to anti-money laundering and combating the financing of terrorism (AML/CFT), FMA - ENCRYPTED E-MAIL COMMUNICATION Encrypted e-mail communication. Despite modern tools for electronic collaboration, e-mail remains an important means of communication in the business environment. FMA - FINANCIAL STABILITY AND MACROPRUDENTIAL SUPERVISION Financial stability and macroprudential supervision. A stable financial system is a necessary condition for the efficient allocation of resources in an economy, for an effective risk management in the financial sector and the ability of the financial system to absorbfinancial shocks.
FMA - MARKET TRANSPARENCY UNDER MIFID II / MIFIR Market transparency under MiFID II / MiFIR. What do MiFID II/MiFIR regulate? Together, MiFID II and MiFIR establish the legal framework governing the requirements applicable to investment firms, trading venues, data reporting service providers and third-country firmsINSTRUCTION
Landstrasse 109 • Postfach 279 • 9490 Vaduz • Liechtenstein Telefon +423 236 73 73 • Telefax +423 236 73 74 • www.fma-li.li• info@fma-li.li
FMA GUIDELINES 2018/19 LICENCE AS A BANK OR AN INVESTMENT FIRM Landstrasse 109 • P.O. Box 279 • 9490 Vaduz • Liechtenstein Telephone +423 236 73 73 • Fax +423 236 73 74 • www.fma-li.li •info@fma-li.li
OF 17 DECEMBER 1996 ON THE LAW ON SUPERVISION OF INSURANCE 961.011 Liechtenstein Law Gazette Year 1997 No. 41 published on 24 January 1997 Ordinance of 17 December 1996 on the Law on Supervision of Insurance Undertakings FMA - FMA - FINANCIAL MARKET AUTHORITYNOTICE: LAPSE OF A LICENCEWARNING NOTICENEWSREGULATIONFINANZMARKTAUFSICHT LIECHTENSTEIN Coronavirus epidemic. The FMA publishes relevant information in connection with the coronavirus epidemic on its website.. For financial service providers. Liechtenstein is an attractive financial centre with direct access to the European Single Market and the SwissMarket.
FMA - REGISTER OF LICENSEES - FMA - FMA Register of licensees. In accordance with the legal requirements, the FMA Liechtenstein maintains databases and lists: of the financial intermediaries with a Liechtenstein licence to FMA - MANAGEMENT COMPANIES AND FUNDS ACCORDING TO THE Management Companies and Funds according to the UCITS Act Responsibilities of the supervisory authority under the UCITS Act. The FMA grants domestic undertakings for collective investment in transferable securities (UCITS) and their management companies authorisation under the UCITSG and notifies the cross-border marketing of UCITS in other EEA member states as well as the cross-border FMA - ANTI-MONEY LAUNDERING Anti-money laundering. For years, Liechtenstein has attached the utmost importance to anti-money laundering and combating the financing of terrorism (AML/CFT), FMA - ENCRYPTED E-MAIL COMMUNICATION Encrypted e-mail communication. Despite modern tools for electronic collaboration, e-mail remains an important means of communication in the business environment. FMA - FINANCIAL STABILITY AND MACROPRUDENTIAL SUPERVISION Financial stability and macroprudential supervision. A stable financial system is a necessary condition for the efficient allocation of resources in an economy, for an effective risk management in the financial sector and the ability of the financial system to absorbfinancial shocks.
FMA - MARKET TRANSPARENCY UNDER MIFID II / MIFIR Market transparency under MiFID II / MiFIR. What do MiFID II/MiFIR regulate? Together, MiFID II and MiFIR establish the legal framework governing the requirements applicable to investment firms, trading venues, data reporting service providers and third-country firmsINSTRUCTION
Landstrasse 109 • Postfach 279 • 9490 Vaduz • Liechtenstein Telefon +423 236 73 73 • Telefax +423 236 73 74 • www.fma-li.li• info@fma-li.li
FMA GUIDELINES 2018/19 LICENCE AS A BANK OR AN INVESTMENT FIRM Landstrasse 109 • P.O. Box 279 • 9490 Vaduz • Liechtenstein Telephone +423 236 73 73 • Fax +423 236 73 74 • www.fma-li.li •info@fma-li.li
OF 17 DECEMBER 1996 ON THE LAW ON SUPERVISION OF INSURANCE 961.011 Liechtenstein Law Gazette Year 1997 No. 41 published on 24 January 1997 Ordinance of 17 December 1996 on the Law on Supervision of Insurance Undertakings FMA - LICENCES AND AUTHORIZATIONS - FMA - FMA Licences and authorizations. The provision of financial services in Liechtenstein is subject to a licence. The FMA is the competent authority for issuing and amending licences and authorizations.FMA - REGULATION
Regulation. Legal foundations for financial intermediaries As an integrated supervisory authority, the FMA supervises banks and insurances as well as numerous other financial market participants. FMA - EUROPE - FMA - FMA Europe. The FMA Liechtenstein is integrated into the European System of Financial Supervision. It consists of the European Systemic Risk Board and the three European supervisory authoriÂties: the European Banking Authority headÂquartered in Paris, the European Insurance and Occupational Pensions Authority headquarÂtered in Frankfurt, and the European Securities and Markets Authority FMA - SUSTAINABILITY IN THE FINANCIAL SECTOR Sustainability in the financial sector. Sustainable finance is understood in particular to refer to financial services in which the financial intermediaries integrate sustainability criteria, often referred to as environmental, social and governance (ESG) criteria, into their investment decisions. FMA - DIRECT DISTRIBUTION Direct distribution Direct distribution. As part of implementation of the Insurance Distribution Directive (EU) 2016/97 (IDD), the Insurance Distribution Act (VersVertG), the Insurance Distribution Ordinance (VersVertV), and the implementing and delegated acts on the IDD enacted by the European Commission will enter into force on 1 October 2018. The IDD also covers insurance undertakings thatINSTRUCTION
Landstrasse 109 • Postfach 279 • 9490 Vaduz • Liechtenstein Telefon +423 236 73 73 • Telefax +423 236 73 74 • www.fma-li.li• info@fma-li.li
FMA GUIDELINES 2018/19 LICENCE AS A BANK OR AN INVESTMENT FIRM Landstrasse 109 • P.O. Box 279 • 9490 Vaduz • Liechtenstein Telephone +423 236 73 73 • Fax +423 236 73 74 • www.fma-li.li •info@fma-li.li
1. ENTWURF 17.07
952.1 1 Liechtenstein Law Gazette Year 2009 Nr. 47 published 29 January 2009 Law of 11 December 2008 on Professional Due Diligence toCombat
OF 17 DECEMBER 1996 ON THE LAW ON SUPERVISION OF INSURANCE 961.011 Liechtenstein Law Gazette Year 1997 No. 41 published on 24 January 1997 Ordinance of 17 December 1996 on the Law on Supervision of Insurance Undertakings APPLICATION FOR RELEASE OF A BLOCKED PENSION FUND ACCOUNT 2 Reason for cash payout (please mark the corresponding reason with a cross) The vested pension benefits are less than the employee contribution for one year (see page 4 for details). The following documents are to be attached: • Last annual pension statement and the final settlement of the last pension scheme;* Register
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FSR 2019
weitere Publikationen03.03.2020
BEKANNTMACHUNG: ERLÖSCHEN EINER BEWILLIGUNG Die Monea Establishment, Vaduz, hat per 29. Februar 2020 auf die Bewilligung als Vermögensverwaltungsgesellschaft verzichtet.28.02.2020
WARNUNG VOR KLONFIRMA Die FMA weist darauf hin, dass zwischen der Website wwwswisslife-assetgroupcom und der Swiss Life (Liechtenstein) AG keine Verbindung besteht.27.02.2020
FMA-MITTEILUNG 2017/3 ABGEÄNDERT Elektronisches Meldewesen nach Sorgfaltspflichtrecht24.02.2020
BEKANNTMACHUNG
FMA verfügt zwangsweise Übertragung des Versicherungsbestandes von der Sikura Leben AG auf die Quantum Leben AG.20.02.2020
VERANSTALTUNGEN ZUM BVG Ostschweizer BVG- und Stiftungsaufsicht: Aktuelle Entwicklungen in der beruflichen Vorsorge14.02.2020
GELDWÄSCHEREIBEKÄMPFUNG Erste Sitzung des Ständigen Ausschusses zur Bekämpfung der Geldwäscherei und der Terrorismusfinanzierung (AMLSC) in Paris.weitere Meldungen
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