Stock exchange and other trading venues

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EBA Guidelines on outsourcing arrangements (EBA/GL/2019/02) + –

EBA Guidelines on outsourcing arrangements (EBA/GL/2019/02)

Scope of application:

credit institutions
management companies
the stock exchange
branches in Finland of foreign credit institutions authorised in non-EEA countries (branch offices of third-country credit institutions)
payment institutions

Related to these guidelines:

Outsourcing in supervised entities belonging to the financial sector, regulations and guidelines 1/2012

Guidelines on outsourcing arrangements | European Banking Authority (europa.eu)

Contact information

Pasi Korhonen, Chief Specialist
tel. +358 9 183 5514, e-mail: pasi.korhonen(at)finanssivalvonta.fi

ESMA Guidelines on the management body of market operators and data reporting services providers under MiFID II + –

ESMA Guidelines on the management body of market operators and data reporting services providers under MiFID II

Scope of application:

Stock exchange referred to in chapter 1, section 2(7) of the Act on Trading in Financial Instruments (1070/2017)
Reporting service provider referred to in chapter 1, section 2(1)(20) of the Act on Trading in Financial Instruments.

Information releases:

Regulations and guidelines on the management body of market operators and data reporting services providers enter into force on 20 February 2018 (in Finnish)

Contact information:
Elina Pesonen, Senior Supervisor
tel. +358 9 183 5474, email: elina.pesonen(at)finanssivalvonta.fi

Janne Miettinen, Senior Supervisor
tel. +358 9 183 5455, email: janne.miettinen(at)finanssivalvonta.fi

ESMA Guidelines on the calibration of circuit breakers and publication of trading halts under MiFID II + –

ESMA Guidelines on the calibration of circuit breakers and publication of trading halts under MiFID II

Scope of application:

Stock exchange referred to in chapter 1, section 1(7) of the Act on Trading in Financial Instruments (1070/2017)
Operator of multilateral trading referred to in chapter 1, section 2(1)(12) of the Act on Trading in Financial Instruments
Operator of organised trading referred to in chapter 1, section 2(1)(12) of the Act on Trading in Financial Instruments

Information releases:
Regulations and guidelines on calibration of circuit breakers and publication of trading halts under MiFID II enter into force on 3 January 2018 (in Finnish)

Contact information:
Elina Pesonen, Senior Supervisor
tel. +358 9 183 5474, email: elina.pesonen(at)finanssivalvonta.fi

Janne Miettinen, Senior Supervisor
tel. +358 9 183 5455, email: janne.miettinen(at)finanssivalvonta.fi

ESMA Guidelines on transaction reporting, order record keeping and clock synchronization under MiFID II + –

ESMA Guidelines on transaction reporting, order record keeping and clock synchronization under MiFID II

Scope of application:
• Stock exchange referred to in chapter 1, section 1(7) of the Act on Trading in Financial Instruments (1070/2017)

Operator of multilateral trading referred to in chapter 1, section 2(1)(12) of the Act on Trading in Financial Instruments
Operator of organised trading referred to in chapter 1, section 2(1)(12) of the Act on Trading in Financial Instruments
Systematic internaliser referred to in chapter 1, section 2(1)(16) of the Act on Trading in Financial Instruments
Approved reporting mechanism referred to in chapter 1, section 2(1)(23) of the Act on Trading in Financial Instruments
Credit institution referred to in chapter 1, section (1) of the Act on Credit Institutions (610/2014), which provides investment service or performs investment activities
Investment firm referred to in chapter 13, section 1(1) of the Act on Investment Services (747/2012)
Finnish branch of a third-country firm, as referred to in chapter 13, section 1(9) of the Act on Investment Services (747/2012)
Management company referred to in the Mutual Funds Act (213/2019), where it provides services referred to in chapter 2, section 2(2)(1) of said Act
Alternative investment fund manager referred to in the AIFM Act (162/2014), where it provides services referred to in chapter 3, section 2(2) or chapter 3, section 3(1)(3) of said Act.

Information releases:
Regulations and guidelines on transaction reporting, order record keeping and clock synchronisation under MiFID II enter into force on 3 January 2018 (in Finnish)

Change in the scope of application of regulations and guidelines 2/2018 (transaction reporting, order record keeping and clock synchronisation under MiFID II) (in Finnish)

Contact information:

Juho Westerlund, Senior Supervisor
tel. +358 9 183 5310, email: juho.westerlund(at)finanssivalvonta.fi

Jukka Katajamäki, Senior Supervisor
tel. +358 9 183 5026, email: jukka.katajamaki(at).finanssivalvonta.fi

ESMA Guidelines on MiFID II/MiFIR obligations on market data + –

ESMA Guidelines on MiFID II/MiFIR obligations on market data

Scope of application:

These guidelines apply to the following entities supervised by the FIN-FSA:

Stock exchange referred to in chapter 1, section 2(7) of the Act on Trading in Financial Instruments (1070/2017)
Multilateral trading facility referred to in chapter 1, section 2(8) of the Act on Trading in Financial Instruments
Organised trading facility referred to in chapter 1, section 2(11) of the Act on Trading in Financial Instruments.
Systematic internaliser referred to in chapter 1, section 2(16) of the Act on Trading in Financial Instruments.
Approved public arrangement referred to in Article 2(1)(34) of Regulation (EU) No 600/2014 on markets in financial instruments and amending Regulation (EU) No 648/2012

Information releases:

Regulations and guidelines 10/2021 on obligations concerning market data (in Finnish)

Contact information:

Elina Pesonen, Senior Supervisor
tel. +358 9 183 5474, email: elina.pesonen(at)finanssivalvonta.fi

Janne Miettinen, Senior Supervisor
tel. +358 9 183 5455, email: janne.miettinen(at)finanssivalvonta.fi

ESMA Guidelines on standard forms, formats and templates to apply for permission to operate a DLT market infrastructure + –

ESMA Guidelines on standard forms, formats and templates to apply for permission to operate a DLT market infrastructure

Scope of application:

The Guidelines apply to competent authorities as defined in Article 2(21) of Regulation (EU) 2022/858 and to applicants for specific permissions to operate DLT market infrastructures as defined in Article 2(5) of Regulation (EU) 2022/858

Information releases:

No supervision release issued

Contact information:

Jukka Laitinen, Chief Legal Counsel
tel. +358 9 183 5287, email: jukka.laitinen(at)finanssivalvonta.fi

Elina Pesonen, Senior Supervisor
tel. +358 9 183 5474, email: elina.pesonen(at)finanssivalvonta.fi

Joint EBA and ESMA Guidelines (EBA/GL/2024/09, ESMA75-453128700-10) + –

Joint EBA and ESMA Guidelines on the assessment of the suitability of the members of the management body of issuers of asset-referenced tokens and of crypto-asset service providers EBA/GL/2024/09, ESMA75-453128700-10

Date of application The Guidelines will apply from 4 February 2025

Scope of application of the Guidelines

issuers of asset-referenced tokens
crypto-asset service providers
central securities depository
electronic money institutions
fund management companies
alternative investment fund managers (authorised)
stock exchange

Finnish Financial Supervisory Authority’s more specific guidance

Information as referred to in the joint EBA and ESMA Guidelines shall be submitted to the Financial Supervisory Authority’s Registry:
- postal address: Financial Supervisory Authority, P.O. Box 103, FI-00101 Helsinki, Finland
- tel. 09 183 5339 (national hotline number with no additional charge), +358 9 183 5339 (international number) fax +358 9 183 5328
- registry(at)fiva.fi

Information as referred to in the joint EBA and ESMA Guidelines shall be submitted as part of the authorisation application of an asset-reference token (ART) issuer or a crypto-asset service provider. See Authorisations, registrations and notifications: Crypto-asset activities. In addition, an authorised ART issuer or a crypto-asset service provider, or pursuant to Article 60, paragraphs 2, 4, 5 or 6 of Regulation (EU) 2023/1114 (MiCA Regulation), financial entities providing crypto-asset services (central securites depository, electronic money institution, management company, authorised alternative investment fund manager or stock exchange) shall submit the information in situations as referred to in section C.3 of the Joint EBA and ESMA Guidelines or if separately required by the Financial Supervisory Authority.

Related to these Guidelines