FIN-FSA regulations and guidelines for fund management companies

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Commencement of activities

Toimiluvat, rekisteröinnit ja ilmoitukset Fund management companies Alternative investment fund managers (AIFMs)

Organisation of supervised entities’ operations

Sijoitusrahastotoiminnan järjestäminen ja menettelytavat Fund management companies

Outsourcing in supervised entities belonging to the financial sector Credit institutions Stock exchange and other trading venues Fund management companies Payment service providers Investment service providers

Sijoituspalvelujen toiminnan järjestäminen ja menettelytavat Credit institutions Fund management companies Investment service providers Alternative investment fund managers (AIFMs)

Assesment of fitness and propriety Credit institutions Stock exchange and other trading venues Central securities depositories Fund management companies Payment service providers Crowdfunding intermediaries Investment service providers Alternative investment fund managers (AIFMs)

Reporting of fitness and propriety to the Financial Supervision Authority Credit institutions Stock exchange and other trading venues Central securities depositories Fund management companies Payment service providers Crowdfunding intermediaries Investment service providers Alternative investment fund managers (AIFMs)

Customer due diligence; Prevention of money laundering and terrorist financing Credit institutions Central securities depositories Fund management companies Payment service providers Mortgage credit intermediaries Employee pension insurance Life and non-life insurance Insurance intermediaries Crowdfunding intermediaries Investment service providers Alternative investment fund managers (AIFMs)

Risk management

Asset encumbrance reporting Credit institutions Fund management companies Investment service providers

Management of operational risk in supervised entities of the financial sector Credit institutions Stock exchange and other trading venues Fund management companies Payment service providers Investment service providers Alternative investment fund managers (AIFMs)

Tärkeimpien valuuttojen määrittämistä ja arvopaperikeskusten merkittävyyttä koskevien indikaattorien laskentaprosessit Credit institutions Fund management companies

Management of market risk Credit institutions Fund management companies Investment service providers

Management of liquidity risk Credit institutions Fund management companies Investment service providers

Accounting, financial statements and management report

Financial sector regulations and guidelines on reporting of financial information (FINREP) Credit institutions Fund management companies Investment service providers Alternative investment fund managers (AIFMs)

Capital adequacy

Yhteiseurooppalainen raportointi (COREP) Credit institutions Fund management companies Investment service providers Alternative investment fund managers (AIFMs)

Regulations and Guidelines related to the Capital Requirements Regulation Credit institutions Fund management companies Investment service providers

Code of conduct

Asuntoluoton ennenaikaisesta takaisinmaksusta perittävän enimmäiskorvauksen laskentaan käytettävät menetelmät Credit institutions Fund management companies Investment service providers

Disclosure of expenses and returns of long-term savings agreements and insurance policies Credit institutions Fund management companies Life and non-life insurance Insurance intermediaries Investment service providers

Asiakasvalitusten käsittely Credit institutions Fund management companies Payment service providers Life and non-life insurance Insurance intermediaries Investment service providers Alternative investment fund managers (AIFMs)

Finanssipalvelujen ja -tuotteiden markkinointi Credit institutions Fund management companies Payment service providers Mortgage credit intermediaries Employee pension insurance Life and non-life insurance Insurance intermediaries Crowdfunding intermediaries Investment service providers Alternative investment fund managers (AIFMs)

Operations of securities markets

Markkinaosapuolten, työeläkevakuutusyhtiöiden ja rahastoyhtiöiden julkinen sisäpiirirekisteri Credit institutions Stock exchange and other trading venues Central securities depositories Fund management companies Employee pension insurance Investment service providers

Markkinoiden tunnustelua vastaanottavat henkilöt Credit institutions Stock exchange and other trading venues Central securities depositories Fund management companies Payment service providers Mortgage credit intermediaries Employee pension insurance Life and non-life insurance Unemployment insurance Sickness and benefit funds Insurance intermediaries Crowdfunding intermediaries Investment service providers Alternative investment fund managers (AIFMs) Issuers and investors

Ohjeet hyödykejohdannaisia koskevan sisäpiiritiedon määrittelemiseksi Credit institutions Stock exchange and other trading venues Central securities depositories Fund management companies Payment service providers Mortgage credit intermediaries Employee pension insurance Life and non-life insurance Unemployment insurance Sickness and benefit funds Insurance intermediaries Crowdfunding intermediaries Investment service providers Alternative investment fund managers (AIFMs) Issuers and investors

Arvopaperikeskusasetuksen 9 artiklan mukaista sisäistä toimitusta koskevaa raportointia varten Credit institutions Fund management companies Investment service providers

Miscellaneous regulations and guidelines

LEI-tunnuksen käyttöönotto Credit institutions Fund management companies Life and non-life insurance Investment service providers Alternative investment fund managers (AIFMs)

Criteria on simplified, transparent and standardised securitisation Credit institutions Stock exchange and other trading venues Central securities depositories Fund management companies Mortgage credit intermediaries Employee pension insurance Life and non-life insurance Unemployment insurance Sickness and benefit funds Insurance intermediaries Crowdfunding intermediaries Investment service providers Alternative investment fund managers (AIFMs) Issuers and investors

Acquisition of controlling interest in undertakings authorised in non-EEA-states Credit institutions Fund management companies Investment service providers Alternative investment fund managers (AIFMs)