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Obsolete standards, regulations and guidelines
Obsolete standards
- Standard 1.6
 Outsourcing arrangements.
Supervision release 35/2007 Outsourcing arrangements and notifications for outsourcing arrangements – standards 1.6 and RA1.6.
The standard became obsolete on 1 April 2012 when regulations and guidelines 1/2012 Outsourcing entered into force.
- Standard RA1.6 Notifications for outsourcing arrangements.
The standard became obsolete on 1 April 2012 when regulations and guidelines 1/2012 Outsourcing entered into force.
- Standard 2.4 Customer due diligence; Prevention of money laundering, terrorism financing and market abuse.
The standard became obsolete on 1 September 2010 when new Standard 2.4 Customer due diligence; Prevention of money laundering, terrorism financing and market abuse entered into force.
- Standard 3.1 Financial statements and management report
Appendix 1 : Balance sheet layout and completion instructions
Appendix 2 : Income statement layout and completion instructions
Appendix 3 : Notes on the financial statements
Appendix 4 : Consolidated financial statements
The standard became obsolete on 1 February 2013 when regulations and guidelines 1/2013 (available in Finnish and Swedish) entered into force.
- Standard RA3.1 Submission of financial statement and accounting information for supervisory purposes
The standard became obsolete on 1 February 2013 when regulations and guidelines 1/2013 (available in Finnish and Swedish) entered into force.
- Standard RA4.4 Standard on country risk reporting.
Appendix 1 : Reporting instructions
Appendix 2 : Data report forms
Appendix 3: Instructions on electronic reporting. (Appendix available to supervised entities via Jakelu Distribution Service).
Appendix 4 : List of territories and islands whose data are included in the data of the countries of the country classification
Appendix 5 : List of international organisations
Appendix 6 : List of central banks
Appendix 7 : Calculation and control formulae
Appendix 8 : Use of Excel wordbooks for reporting.
Supervision release 6/2005
The standard ceased to be in force as of 1 January 2006.
- Standard RA4.20 Submission of information for supervisory purposes on own funds and capital requirement against credit and market risk.
Appendix 1 : X form (fund management companies)
Appendix 2 : X form (fund management companies engaged in portfolio management)
Verification of reported data
Supervision release 33/2005 Fund management companies' reporting of profit or loss, balance sheet and own funds changed over to the joint reporting to relevant authorities.
The standard became obsolete on 31 March 2008 when Standard RA4.8 (available in Finnish) entered into force.
Obsolete regulations and guidelines
Obsolete regulations and guidelines as of 15 October 2002.
- 101.3 Guideline on the authorization of credit institutions.
The guideline became obsolete on 1 June 2006 when Standard 1.1 on market entry entered into force.
- 101.4 Regulation on foreign branches of credit institutions and on the provision of services abroad.
Appendix : List of business activities pursued in th EEA states according to the Second Banking Directive and business activities pursued within the territory of other states according to section 20 of the Credit Institutions Act.
The regulation became obsolete on 1 June 2006 when Standard 1.1 on market entry entered into force.
 101.6 Guideline on the supervision by the Financial Supervision Authority of changes in the ownership of credit institutions. The guideline became absolete on 28 June 2011.
Appendix Notifying the FSA on holdings of shares and participations in credit institutions when the owner is not subject to supervision by the FSA. - 101.8 Regulation on representative offices of foreign credit institutions in Finland.
The regulation became obsolete on 1 June 2006 when Standard 1.1 on market entry entered into force.
- 101.10 Guideline on the contents of fit and proper assessments and on the reporting requirement.
The guideline became obsolete on 1 July 2007 when Standard 1.4 on assessment of fitness and propriety entered into force.
- 102.4 Guideline on the cancellation of payments from customers' accounts.
The guideline became obsolete on 1 August 2006 when Standard 2.1 on code of conduct for the provision of financial services entered into force.
- 103.2 Regulation on safe collateral for bonds, valid from 14 February 1994
Appendices :
Appendix 1. Collateral Form, Financial Supervision Authority combination of collateral for a bond
Appendix 2. Collateral Form, Collateral itemized by bond
Appendix 3. Collateral Form, List of collateral documents
Appendix 4. Collateral Form, Receipt for lending of collateral documents
Appendix 5. Collateral Form, Return of collateral documents to a credit institution
Appendix 6. Collateral Form, Report on collateral shortfall
The regulation ceased to be in force as of 18 January 2008.
- 103.3 Guideline on the margin requirement related to the use of securities as collateral.
The guideline became obsolete on 1 January 2005 when Standard 4.4a on management of credit risk entered into force.
- 103.6 Guideline on the provision of accounting and data processing services.
The guideline became obsolete on 6 March 2007.
- 103.11
 Guideline on asset transfer and securitisation.
Appendix : Summary of information to be submitted to the Financial Supervision Authority on an asset securitisation transaction
The guideline became obsolete on 15 April 2013.
- 104.1 Guideline on the reprting of cases of malpractice in credit institutions and crimes against credit insitutions.
The guideline became obsolete on 1 January 2005 when Standard RA4.2 on reporting of operational risk events entered into force.
- 105.4 Regulation on reporting cash reserves.
The regulation ceased to be in force as of 18 August 2004.
- 105.5 Regulation on reporting liquidity risk.
The regulation became obsolete on 1 April 2005 when Standard RA4.7 on reporting of liquidity risk entered into force.
- 105.6 Regulation on reporting interest rate risk.
The regulation became obsolete on 1 April 2005 when Standard RA4.5 on reporting of interest rate risk entered into force.
- 105.7 Regulation on reporting country risk.
Appendix 1 : Reporting instructions
Appendix 2 : Tables
Appendix 3: Instructions for computer-assisted data transfers
Appendix 4 : List of territories and islands whose data are included in the data of the countries of the country classification
Appendix 5 : List of international organizations
Appendix 6 : List of central banks
Appendix 7 : Formulas for calculation and control
Appendix 8 : Data on country risks
The regulation became obsolete on 31 March 2005 when Standard RA4.4 on country risk reporting entered into force. Standard ceased to be in force as of 1 January 2006.
- 105.8 Regulation on reporting of non-performing and other zero-interest assets.
The regulation became obsolete on 1 April 2006 when Standard RA4.6 on reporting of non-performing and zero-interest assets entered into force.
- 105.9 Guideline on foreign currency risk limits.
Appendix 1 : Reporting instructions
Appendix 2 : Technical description of foreign currency position reporting.
Appendix 3 : Monthly report (FX1)
Appendix 4 : Monthly report (FX2)
The guideline ceased to be in force as of 17 December 2002.
- 105.10 Regulation on reporting of undertakings belonging to a consolidation group and a group.
Appendix : Instructions on reporting electronically undertakings belonging to a consolidation group and a group and other separately mentioned undertakings
The regulation became obsolete on 15 April 2013.
- 105.11 Regulation on the reporting of data to the loan loss register.
Appendix : Instructions on reporting credit losses in electronic form.
The regulation ceased to be in force as of 16 November 2007.
- 105.12 General guideline on the risk management of derivatives.
The guideline became obsolete on 1 April 2009 when Standard 4.4c on management of market risk entered into force.
- 105.13 General guideline on credit risk management.
The guideline became obsolete on 1 January 2005 when Standard 4.4a on management of credit risk entered into force.
- 105.14 Reporting to the Financial Supervision Authority of intra-group transactions between companies in a banking or investment firm group, and between companies within a financial and insurance conglomerate.
The regulation became obsolete on 1 June 2006 when Standard RA1.1 on reporting of intra-group transactions entered into force.
- 105.15 Mortgage banks' management of balance sheet risks.
The regulation became obsolete on 1 April 2009 when Standard 4.4c on management of market risk entered into force.
- 106.1 Regulation on the annual accounts of credit institutions.
Appendix 1 : Layouts for the profit and loss account and balance sheet and instructions for completion
Appendix 2 : Derivative contracts
Appendix 3 : Making revaluations in the accounts
Appendix 4 : Financial indicators and key ratios
Revisions to Regulation 106.1
The regulation became obsolete on 1 December 2005 when Standard 3.1 on financial statements and annual report entered into force.
- 106.2 Regulation on the consolidated accounts of credit institutions.
Appendix 1 : Layouts for consolidated profit and loss accounts and balance sheets
Appendix 2 : Notes to the consolidated accounts
The regulation became obsolete on 1 December 2005 when Standard 3.1 on financial statements and annual report entered into force.
- 106.3 Regulation on the accounting of credit institutions,
The regulation became obsolete on 1 December 2005 when Standard 3.1 on financial statements and annual report entered into force.
- 106.4 Guideline on applying for exemption from the provisions concerning the extent of consolidation groups and consolidated accounts.
The guideline became absolete on 1 February 2013 when regulations and guidelines 1/2013 (available in Finnish and Swedish) entered into force.
- 106.6 Regulation on the reporting of own funds and consolidated own funds.
Appendices: Reporting instructions and X-table
The regulation became obsolete on 30 June 2007 when Standard 4.3a (available in Finnish and Swedish) entered into force.
- 106.7 Regulation on the reporting of own funds and consolidated own funds required for covering credit risk.
Appendices: Reporting instructions and Y-tables
The regulation became obsolete on 30 June 2007 when Standard 4.3a (available in Finnish and Swedish) entered into force.
- 106.8 Regulation on submission of annual accounts and relevant accounting information by credit institutions and their groups to the Financial Supervision Authority.
The regulation became obsolete on 1 April 2006 when Standard RA4.6 on reporting of non-performing and zero-interest assets entered into force.
- 106.8a Regulation on submission of accounting information by branches of EEA-based credit institutions to the Financial Supervision Authority.
The regulation became obsolete on 1 December 2005 when Standard RA3.1 on submission of financial statement and accounting information for supervisory purposes entered into force.
- 106.10 Regulation on the accounting and annual accounts of security funds.
Appendix : Layouts for the profit and loss account and the balance sheet
The regulation became obsolete on 1 December 2005 when Standard 3.1 on financial statements and annual report entered into force.
- 106.12 Regulation on the reporting of the own funds and consolidated own funds required for covering market risk.
Appendices: Reporting instructions and Z-tables
The regulation became obsolete on 1 March 2007 when Standard 4.3g Markkinariskin vakavaraisuusvaatimus (in Finnish) entered into force.
- 106.13 Guideline on interim reports of credit institutions whose securities are subject to public trading.
The guideline became obsolete on 1 December 2005 when Standard 3.1 on financial statements and annual report entered into forece.
- 106.14 Guideline on annual accounts announcements of credit institutions whose shares are subject to public trading.
The guideline became obsolete on 1 December 2005 when Standard 3.1 on financial statements and annual report entered into force.
- 106.15 Regulation on interim reports of deposit banks.
The regulation became obsolete on 1 December 2005 when Standard 3.1 on financial statements and annual report entered into force.
- 107.1 Regulation on auditors' reports.
The regulation became obsolete on 1 Sebtember 2012 when regulations and guidelines 8/2012 (available in Finnish and Swedish) on audit entered into force.
- 107.2 Guideline on a supervisory board's duty to hear auditors and internal auditors.
The guideline became obsolete on 1 Sebtember 2012 when regulations and guidelines 8/2012 (available in Finnish and Swedish) on audit entered into force.
- 107.3 Guideline on supervising the independence of auditors and deputy auditors of credit institutions and their subsidiaries.
Bilaga : Model for the notification to be filed with the Financial Supervision Authority.
The guideline became obsolete on 1 Sebtember 2012 when regulations and guidelines 8/2012 (available in Finnish and Swedish) on audit entered into force.
- 108.1 Regulation on risk management and other aspects of internal control in credit institutions.
The regulation became obsolete on 1 July 2003 when Standard 4.1 on establishment and maintenance of internal control and risk management entered into force.
- 108.2 Guideline on risk management and internal control principles as well as internal audit function of credit institutions.
The guideline is in part rendered obsolete by standards 4.1 Establishment and maintenance of internal control and risk management and 4.4b Management of operational risk, with the exception of provisions on internal audit. Regulation details on internal audit will be provided in standards to be completed at a later date.
The guideline became totally obsolete on 1 November 2007 when Standard 1.3 on internal governance and organisation of activities entered into force.
- 201.2 Guideline on procedures to be observed in the marketing of securities.
The guideline became obsolete on 1 October 2006 when Standard 2.2 on marketing of financial services and financial instruments entered into force.
- 201.4 Regulation on reporting trading on own account.
Regulation ceased to be in force as of 1 of January 2002.
- 201.5 Regulation on declaration of insider holdings.
Appendix 1 : Form 1. Declaration of insider holdings / Basic declaration
Appendix 2 : Form 2. Declaration of insider holdings / Declaration of holdings
The regulation became obsolete on 1 September 2005 when Standard 5.3 on declarations of insider holdings and insider registers entered into force.
- 201.6 Regulation on registers of insider holdings.
The regulation became obsolete on 1 September 2005 when Standard 5.3 on declarations of insider holdings and insider registers entered into force.
- 201.7 Guideline on practices to be applied in the provision of investment services.
From the 1 June 2006 the guideline is in part rendered obsolete by Standard 2.3 Financial services agreements (paragraph 5.2.3: Portfolio management agreement and its contents).
From the 1 February 2007, regulations 5.3.1, 5.3.2 and 5.3.3 have been repealed and replaced by Standard 5.2a Securities offerings and listing.
The guideline became totally obsolete on 1 November 2007 when Standard 2.1 on code of conduct for the provision of financial services entered into force.
- 201.9 Guideline on agreements for safekeeping and administration of securities (including safe custody), book-entry accounts and portfolio management.
The guideline became obsolete on 1 June 2006 when Standard 2.3 on financial services agreements entered into force.
- 201.10 Regulation on reporting trading in debt securities.
The regulation became obsolete on 1 November 2007 when Standard RA5.1 entered into force.
- 201.12 Guideline on segregation of securities business functions.
Thre guideline became obsolete on 1 November 2007 when Standard 1.3 on internal governance and organisation of activities entered into force.
- 201.13 Regulation on customer funds.
Thre regulation became obsolete on 1 November 2007 when Standard 1.3 on internal governance and organisation of activities entered into force
- 202.3 Regulation on the delivery to the Financial Supervision Authority of annual accounts, interim reports and auditors' reports by stock exchanges and associations of securities intermediaries.
The regulation became obsolete on 1 September 2012 when regulations and guidelines 8/2012 (available in Finnish and Swedish) on audit entered into force.
- 202.5 Regulation on the publication of reports on holdings received from securities intermediaries, brokers and market makers.
The regulation ceased to be in force as of 1 July 2005.
- 202.6 Regulation on the accounting and annual accounts of options corporations.
Appendix : Layout for the profit and loss account
The regulation became obsolete on 1 December 2005 when Standard 3.1 on financial statements and annual report entered into force.
- 202.7 Regulation on the delivery of interim reports and auditors' reports by options corporations to the Financial Supervision Authority.
The regulation became obsolete on 1 September 2012 when regulations and guidelines 8/2012 (available in Finnish and Swedish) on audit entered into force.
- 202.10 Regulation on disclosure of trading in debt securities.
The regulation ceased to be in force as of 1 January 2003.
- 202.11 Regulation on disclosure of trading on own account.
Regulation ceased to be in force as of 1 January 2002
- 202.13 Guideline on risk management and other aspects of internal control in stock exchange.
The guideline is in part rendered obsolete by standards 4.1 Establishment and maintenance of internal control and risk management and 4.4b Management of operational risk, with the exception of provisions on internal audit. Regulation details on internal audit will be provided in standards to be completed at a later date.
The guideline became totally obsolete on 1 November 2007 when Standard 1.3 on internal governance and organisation of activities entered into force.
- 203.8 Regulation on monthly reporting by investment firms.
Appendix 1 : Instructions for completion of the form
Appendix 2 : Monthly report
Regulation ceased to be in force as of 18 November 2003.
- 203.13 Regulation on the annual accounts of investment firms.
Appendix 1 : Layouts for the profit and loss account and balance sheet and instructions for completion
Appendix 2 : Accounting principles for derivative contracts
Appendix 3 : Making revaluations in the accounts
Appendix 4 : Financial indicators and key ratios
The regulation became obsolete on 1 December 2005 when Standard 3.1 on financial statements and annual report entered into force.
- 203.14 Regulation on the consolidated accounts of investment firms.
Appendix 1 : Layouts for the consolidated profit and loss account and balance sheet
Appendix 2 : Notes to the consolidated accounts
The regulation became obsolete on 1 December 2005 when Standard 3.1 on financial statements and annual report entered into force.
- 203.15 Regulation on the reporting of voting rights and qualifying holdings. The guideline became absolete on 28 June 2011.
- 203.16 Appendix : Investment firm notification of intention to provide services listed in the Council Directive 93/22/EEC on Investment Services in the Securities Field on a cross-border basis.
The appendix ceased to be in force as of 1 November 2007.
- 203.17 Regulation on written reporting on the fitness and propriety of owners, directors and managers in connection with changes.The guideline became absolete on 28 June 2011.
- The entire regulation has been repealed. The provisions on directors and managers were repealed by standard 1.4 Assessment of fitness and propriety from 1 July 2007 and the provisions on owners were repealed from 28 June 2011.
- 203.18 Guideline on interim reports of investment firms whose securities are subject to public trading.
The guideline became obsolete on 1 December 2005 when Standard 3.1 on financial statements and annual report entered into force.
- 203.19 Guideline on annual accounts announcements of investment firms whose shares are subject to public trading.
The guideline became obsolete on 1 December 2005 when Standard 3.1 on financial statements and annual report entered into force.
- 203.23 Regulation on the reporting of own funds and consolidated own funds.
Appendices: Reporting instructions and X-table
The regulation became obsolete on 30 June 2007 when Standard 4.3a (available in Finnish and Swedish) entered into force.
- 203.24 Regulation on the reporting of own funds and consolidated own funds required for covering credit risk.
Appendices: Reporting instructions and Y-tables
The regulation became obsolete on 30 June 2007 when Standard 4.3a (available in Finnish and Swedish) entered into force.
- 203.25 Guideline on applying for exemption from the provisions concerning the extent of consolidation groups and consolidated accounts.
The guideline became absolete on 1 February 2013 when regulations and guidelines 1/2013 (available in Finnish and Swedish) entered into force.
- 203.27 Regulation on risk management and other aspects of internal control in investment firms.
The regulation became obsolete on 1 July 2003 when Standard 4.1 on establishment and maintenance of internal control and risk management entered into force.
- 203.28 Guideline on risk management and internal control principles as well as internal audit function of investment firms.
The guideline is in part rendered obsolete by standards 4.1 Establishment and maintenance of internal control and risk management and 4.4b Management of operational risk, with the exception of provisions on internal audit. Regulation details on internal audit will be provided in standards to be completed at a later date.
The guideline became totally obsolete on 1 November 2007 when Standard 1.3 on internal governance and organisation of activities entered into force.
- 203.29 Regulation on reporting of undertakings belonging to a consolidation group and a group.
Appendix : Instructions on reporting electronically undertakings belonging to a consolidation group and a group and other separately mentioned undertakings
The guideline became obsolete on 15 April 2013.
- 203.30 Reporting to the Financial Supervision Authority of intra-group transactions between companies in a banking or investment firm group, and between companies within a financial and insurance conglomerate.
The regulation became obsolete on 1 June 2006 when Standard RA1.1 on reporting of intra-group transactions entered into force.
- 204.2 Guideline on the publication of information affecting the value of the securities of investment companies.
The guideline became obsolete on 1 March 2005 when Standard 5.2b on disclosure obligation of the issuer and shareholder entered into force.
- 206.4 Guideline on risk management and other aspects of internal control in central securities depository.
The guideline is in part rendered obsolete by standards 4.1 Establishment and maintenance of internal control and risk management and 4.4b Management of operational risk, with the exception of provisions on internal audit. Regulation details on internal audit will be provided in standards to be completed at a later date.
The guideline became totally obsolete on 1 November 2007 when Standard 1.3 on internal governance and organisation of activities entered into force.
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