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GRC Reference Templates

GRC Library has created a variety of reference templates based on compliance documents for your convenience.
These templates include the Compliance Controls Checklist, Risk and Control Self-Assessment (RCSA), Policy templates, and more. You can click the link below to access and download the templates.


Policy Template
1. Best Interest of Token Holders Policy
2. Client Advice Policy
3. Client Asset Protection Policy
4. Conflict of Interest Management Policy
5. Crypto-Asset Service Provider Authorization Policy
6. Governance Policy
7. Insider Information Management Policy
8. Order Execution Policy
9. Redemption Policy
10. Reserve Asset Management Policy
11. Trading Platform Operations Policy
12. Transfer Service Policy


EUR-Lex Checklist
Markets in Crypto-Assets Regulation - Regulation (EU) 2023/1114 Controls Checklist


EUR-Lex RCSA
Markets in Crypto-Assets Regulation - Regulation (EU) 2023/1114 RCSA Template


Markets in Crypto-Assets Regulation - Regulation (EU) 2023/1114

Name: Markets in Crypto-Assets Regulation - Regulation (EU) 2023/1114

This act is crucial as it establishes a comprehensive legal framework for the regulation of crypto-assets within the European Union. It aims to enhance market integrity, protect investors, and foster innovation while addressing potential risks associated with the digital asset market. The regulation seeks to harmonize rules across member states, thus preventing regulatory fragmentation and improving consumer confidence in crypto-assets.

Target Audience:

  • Crypto-asset issuers
  • Crypto-asset service providers
  • Retail investors

Key Points:

  • Consumer Protection Ensures that retail holders of crypto-assets receive adequate disclosure of risks, characteristics, and their rights related to crypto-assets to protect them from misleading information.
  • Market Integrity Establishes rules to deter market abuse, ensuring fair trading practices and protecting the integrity of crypto-asset markets.
  • Regulatory Harmonization Aims at creating a unified regulatory landscape across EU member states for crypto-assets, addressing issues of regulatory fragmentation that currently exist.
  • Risks Management Addresses the principle-based approach to managing risks associated with crypto-assets, including market abuse and financial crime.
  • Transparency Requirements Mandates issuers and service providers to disclose relevant information clearly and transparently, thus promoting accountability and informed decision-making.
  • ESMA Oversight Empowers the European Securities and Markets Authority (ESMA) to supervise and regulate aspects of crypto-assets, ensuring compliance with EU regulations.
  • Sustainability Considerations Recognizes the environmental implications of crypto-assets and mandates disclosures related to sustainability and the impact of consensus mechanisms.
  • Customary Languages Specifies that important documents, such as the crypto-asset white paper, must be provided in official EU languages to ensure accessibility.
  • Authorization Framework Sets out requirements for obtaining authorization to issue or trade crypto-assets, ensuring that only compliant entities participate in the market.
  • Regulatory Agility Calls for regulations to be adaptable to rapidly evolving technological and market developments within the crypto-asset sphere.

Related Regulations or Articles:

  • Directive (EU) 2019/1937 on Whistleblower Protection Establishes protections for whistleblowers who report breaches of this regulation, thereby enhancing compliance and regulatory effectiveness.
  • Regulation (EU) No 1093/2010 establishing the European Banking Authority Provides a supervisory framework for the activities of the European Banking Authority regarding crypto-asset service providers, ensuring that financial stability is maintained.
  • Regulation (EU) No 1095/2010 establishing the European Securities and Markets Authority Outlines the role of ESMA in overseeing the compliance of crypto-assets with EU regulations, enhancing consumer protection and market integrity.
  • Directive 2013/36/EU on access to the activity of credit institutions and the prudential supervision of credit institutions Relates to the prudential supervision provided to financial entities involved with crypto-assets as part of their overall financial activities.

Reference URL: https://eur-lex.europa.eu/legal-content/EN/TXT/HTML/?uri=CELEX:32023R1114

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Updated: 2024-08-05 16:43:44
Created: 2024-08-05 16:43:44
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