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期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)
banking framework would be beneficial. It also identifies the need to improve
definitions, calculation methodologies, and thresholds monitoring for investment
firms, while emphasising the importance of harmonising the scope of calculation to
ensure consistent application of the framework.
In addition, the report addresses a wider range of topics, including the adequacy
of own funds requirements, the implications of the Banking Package, the prudential
consolidation of investment firm groups, and aspects related to remuneration. It also
considers the interactions between the IFR/IFD framework and other regulations,
namely the Market in Crypto-Assets Regulation (MiCA), the Undertakings for
Collective Investment in Transferable Securities (UCITS), and the Alternative
Investment Funds Managers (AIFM) Directives.
Next steps
The EBA and ESMA will submit the joint report to the European Commission.
https://www.esma.europa.eu/press-news/esma-news/eba-and-esma-recommend-target
ed-revisions-investment-firms-prudential
7. 歐盟證券與市場(chǎng)管理局發(fā)布第二份處罰報(bào)告（2025 年 10 月 16 日）
歐盟證券與市場(chǎng)管理局（ESMA，歐盟證券市場(chǎng)的監(jiān)管者）發(fā)布了第二份關(guān)
于 2024 年成員國(guó)實(shí)施行政處罰與措施的報(bào)告。
2024 年，各成員國(guó)在 ESMA 職責(zé)范圍內(nèi)的金融領(lǐng)域共實(shí)施 970 多項(xiàng)行政處
罰與措施。與 2023 年相比，行政處罰與措施的數(shù)量保持穩(wěn)定。
行政罰款總額較 2023 年有所增加，超過 1 億歐元。與去年類似，根據(jù)《市
場(chǎng)濫用條例》（Market Abuse Regulation, MAR）和《金融工具市場(chǎng)指令》（MiFID）
作出的行政罰款金額最高。
今年的報(bào)告分析了更細(xì)化的行政處罰與措施類型數(shù)據(jù)（包括和解程序）。數(shù)
14
