08 October 2013

ESA（欧州証券機構）共同委員会、EU（欧州連合）・EEA（欧州経済地域）の2013年金融コングロマリット・リストを公表

In 2013 for the benefit of increased transparency the methodology for the compilation of the list of identified financial conglomerates has changed compared to the prior years.

In line with FICOD 1, the list includes all groups defined as financial conglomerates according to the definition in Article 2(14) in combination with Article 3 of FICOD 1, irrespective of any waivers, which might apply. Those groups to which waivers apply, in full or in part, are exempted from the requirements under Directive 2002/87/EC.

Further, in light of the transposition date of FICOD 1, namely 10 June 2013, except for provisions relating to Alternative Investment Fund Managers (AIFM), where the transposition date was 22 July 2013, the ESAs established the list on the basis of the enlarged scope of FICOD 1 so as to include reinsurance undertakings, asset management companies and alternative investment fund managers when identifying financial conglomerates.

It should be noted that according to the transitional provisions of Article 61(1) of Directive 2011/61/EU (AIFMD Directive) such AIFMs should submit an application for authorisation by 22 July 2014. Therefore, this list will be further updated once AIFM entities in a financial conglomerate have been authorised by the relevant competent authorities.

Explanatory note

List of identified Financial Conglomerates

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