FIN-FSA regulations and guidelines for investment service providers

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Organisation of supervised entities’ operations

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

Ohjeet moitteettomista palkitsemisjärjestelmistä sekä palkitsemiseen liittyvistä tiedonantovelvollisuuksista Credit institutions 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)

Management of interest rate risk arising from non-trading activities Credit institutions Investment service providers

Management of credit risk by supervised entities in the financial sector Credit institutions Investment service providers

Guidelines on institutions' stress testing Credit institutions Investment service providers

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)

Rahoitussektorin kirjanpito, tilinpäätös ja toimintakertomus Credit institutions Investment service providers

Capital adequacy

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

Valvojan arviointimenettelyä varten kerättävät ICAAP- ja ILAAP-tiedot Credit institutions Investment service providers

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

Internal Capital Adequacy Assessment Process ICAAP Credit institutions 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

Ohje markkinatakaustoimintaa ja ensimarkkinoilla suoritettavia operaatioita koskevasta poikkeuksesta Credit institutions Investment service providers

Securities offerings and listings Crowdfunding intermediaries Investment service providers Issuers and investors

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

Kolmansien maiden kaupankäyntiosapuolet Stock exchange and other trading venues 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

Kaupparaportointi, tarjouskirjanpito ja kellotahdistus MiFID II:n mukaisesti Stock exchange and other trading venues Investment service providers

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)

Development of recovery plans and early intervention Credit institutions Investment service providers

Rahoitus- ja vakuutusryhmittymien vakavaraisuuden laskenta ja raportointi Credit institutions Life and non-life insurance Investment service providers

Määräosuuksien hankinnan ja lisäämisen arviointia koskevat ohjeet Credit institutions Life and non-life insurance Investment service providers

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

Määräykset ja ohjeet MiFID II-direktiivin liitteen I kohtien C6 ja C7 soveltamisesta Investment service providers

Reporting of intra-group transactions Credit institutions Investment service providers

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

Supervision of financial and insurance conglomerates Credit institutions Investment service providers

Lähipiiriluottojen ja -sijoitusten ilmoittaminen Rahoitustarkastukselle Credit institutions Investment service providers