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Primary legislation / European regulations |
Secondary legislation |
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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
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Regulations REGULATION No 24/2020 amending Article 2(2) of Council Regulation (EC) No. (2) of the Regulation of the Financial Supervisory Authority No 11/2018 on the application of certain provisions of Article 104 of Law No 126/2018 on markets in financial instruments Regulation A.S.F./B.N.R. 23/10/2020 for the amendment of para. (2) of art. 21 of Reg. ASF/BNR no.10/4/2018 on the protection of financial instruments and funds belonging to clients, product governance obligations and applicable rules ASF/BNR Regulation no. 18/8/2020 amending and supplementing the Regulation of the Financial Supervisory Authority and the National Bank of Romania no. 14/7/2018 on the provision of investment services and activities on behalf of financial investment services companies and credit institutions 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 Regulation No 11/2019 amending and supplementing Regulation of the Financial Supervisory Authority No 3/2014 on certain aspects of 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 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 ASF/BNR Regulation no.14/7/2018 on the provision of investment services and activities on behalf of financial investment services companies and credit institutions, as amended and supplemented A.S.F./B.N.R. Regulation no. 10/4/2018 on the protection of financial instruments and funds belonging to clients, product governance obligations and rules applicable to the granting or receiving of fees, commissions or other types of pecuniary or non-pecuniary benefits, amended and supplemented by A.S.F./B.N.R. Regulation no. 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
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Legislatie europeana MIFID II / MIFIR
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