Stock exchange and other trading venues
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:
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
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
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
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)
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
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
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