Benchmark Regulation | Regulatory-Hub

Official name

REGULATION (EU) 2016/1011 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 8 June 2016 on indices used as benchmarks in financial instruments and financial contracts or to measure the performance of investment funds and amending Directives 2008/48/EC and 2014/17/EU and Regulation (EU) No 596/2014

Type

Regulation

Level 1

Initiator

Submitted

18.09.2013

Doc. code

2016/1011

Summary

Status

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Current version

Final version

08.06.2016

Next step

Entry into force

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Application date

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Scope

Relevant for

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Level 1

Low-carbon Benchmarks (binding, Amendment, EU)

Amendment of the Benchmark regulation: LIBOR replacement and use of third country benchmarks (binding, Amendment, EU)

Second Financial Market Enforcement Act (binding, Amendment, DE)

Amending certain regulations with respect to the establishment and operation of ESAPs (binding, Amendment, EU)

Review of the scope and third-country regime of the Benchmark Regulation (binding, Amendment, EU)

Level 2

Equivalence of legal and supervisory systems applicable to benchmarks in Australia (binding, EU)

Equivalence of legal and supervisory systems applicable to benchmarks in Singapore (binding, EU)

Amendment of the Regulation on the list of critical reference points (binding, EU)

Procedures and forms for the provision of information by NCAs to ESMA (binding, EU)

Templates for compliance statement for significant and non-significant benchmarks (binding, EU)

Code of Conduct for Administrators of benchmarks (binding, EU)

Form and content of the application for recognition of a benchmark (binding, Supplement, EU)

Internal supervisory and verification procedures in case of critical reference values (binding, EU)

Establishing the minimum content of cooperation agreements with authorities of third countries (binding, EU)

Procedures and characteristics of the oversight function (binding, EU)

Clarification of the content of publications required by reference value administrators (binding, EU)

Clarification of the considered criteria by public authorities for critical reference values (binding, EU)

Clarification of the information to be provided on critical reference values (binding, EU)

Clarification of governance requirements for supervised contributors (binding, EU)

Information in applications for authorisation and registration for benchmark adminastrators (binding, EU)

Investment Audit Reports Ordinance - KAPrüfbV (binding, DE)

List of critical benchmarks (binding, EU)

Cessation or change of existing benchmarks within the Benchmarking Regulation (binding, EU)

Application of certain criteria within the Regulation of Benchmarking (binding, EU)

Specification of individual terms of the Benchmarking Regulation (binding, EU)

Specification of assessment of several nominal amounts within the Benchmarking Regualtion (binding, EU)

Creditworthiness testing of real estate loan agreements (ImmoKWPLV) (binding, Supplement, DE)

Explanation of ESG factors in the benchmark statement (binding, EU)

Minimum content of the explanation of ESG-factors in the benchmark methodology (binding, EU)

Minimum standards for EU Benchmarks (binding, EU)

Designation of a statutory replacement rate for CHF LIBOR (binding, EU)

Fifth amendement of the list of critical benchmarks (binding, EU)

Designation of a statutory replacement for the EONIA benchmark (binding, EU)

Fees for administrators of critical reference values and reference value administrators from third countries (binding, Supplement, EU)

RTS on the revision of the form and content of the application for recognition of a reference value (binding, Amendment, Supplement, EU)

Rules applicable to third-country benchmarks (binding, Supplement, EU)

Amendment on the RTS on authorisation and application (binding, Supplement, EU)

Harmonization of fees to certain benchmark administrators (binding, Amendment, EU)

Level 3 / Other

Guidelines on non-significant benchmarks (binding, EU)

Euro risk-free rates - fallback provisions for cash products (non-binding, EU)

EEA Agreement: Implementation of Regulation on Benchmarking (non-binding, EU)

Report on accounting implications: transition from EONIA to the €STR & introduction of €STR-based fallbacks (non-binding, EU)

Report on EURIBOR: High level recommendations for fallback provisions in contracts for cash products and derivatives transactions (non-binding, EU)

Guidance on €STR fallback arrangements (non-binding, EU)

External audit requirements for interest rate benchmarks during covid-19 pandemic (non-binding, EU)

Memorandum of Understanding between ESMA and MAS on Singapore’s Financial Benchmarks (non-binding, EU)

Memorandum of Understanding between ESMA and ASIC (non-binding, EU)

Opinion on issues with sustainability disclosures for benchmarks (non-binding, EU)

Recommendation on the suspension of supervisory action in relation to sustainability disclosures for benchmarks (non-binding, EU)

Preparations for benchmark rate reforms (binding, EU)

Fees for Benchmark Administrators under BMR (non-binding, EU)

EONIA to €STR transition (non-binding, EU)

MiFID II/MiFIR and BMR provisions under a no-deal Brexit (binding, EU)

ESMA 2019 Work Programme (non-binding, EU)

Interest-rate benchmarks exposures of Dutch financial institution (non-binding, NL)

Methodology to calculate a benchmark in exceptional circumstances (binding, EU)

Update statement on impact of Brexit on the Benchmark Regulation (non-binding, EU)

Final preparations for the LIBOR transition (non-binding, INT)

Q&A on the Benchmarks Regulation (binding, EU)

'Do No Significant Harm’ definitions and criteria across the EU Sustainable Finance framework (non-binding, Supplement, EU)

Concept of estimates across the EU Sustainable Finance framework (non-binding, Supplement, EU)

Source: EU, 2016/1011, 2016