Resources > LEI Regulatory Use
In the aftermath of the financial crisis, the Group of 20, the Financial Stability Board (FSB), and regulatory bodies worldwide introduced a system of Legal Entity Identifiers (LEIs) to provide greater transparency in the financial markets. As evidenced by the widespread adoption of the system, the LEI has been successfully implemented with authorities and regulators all over the world relying on it to assess risk, implement corrective measures, and prevent market manipulation. By using the LEI, financial data accuracy has improved, and measures have been put in place to minimize market abuse.
Currently 300+ regulations require or request the use of LEIs.
The full table is detailed below, for deeper dives into mandatory, regulatory or standards driven initiatives see:
| Jurisdiction | Rule related to LEI | Master/Base Regulation | Effective Date | LEI Required vs. Requested | Approved Vs. Proposed | More Info |
| US | Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission 17 CFR Parts 275 and 279 Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers | Dodd-Frank Act | 2024 | Requested | Approved | Link |
| EU | Directive (EU) 2023/2864 of the European Parliament and of the Council of 13 December 2023 amending certain Directives as regards the establishment and functioning of the European single access point | European single access point (ESAP) | 2024 | Requested | Approved | Link |
| EU | Regulation (EU) 2023/2869 of the European Parliament and of the Council of 13 December 2023 amending certain Regulations as regards the establishment and functioning of the European single access point | European single access point (ESAP) | 2024 | Requested | Approved | Link |
| EU | Regulation (EU) 2023/2859 of the European Parliament and of the Council of 13 December 2023 establishing a European single access point providing centralised access to publicly available information of relevance to financial services, capital markets and sustainability | European single access point (ESAP) | 2024 | Requested | Approved | Link |
| EU | Regulation (EU) 2023/2631 of the European Parliament and of the Council of 22 November 2023 on European Green Bonds and optional disclosures for bonds marketed as environmentally sustainable and for sustainability-linked bonds | United Nations Framework Convention on Climate Change (the ‘Paris Agreement’) | 2023 | Requested | Approved | Link |
| JPN | Financial Services Agency of Japan Guidelines for Creating, Recordkeeping and Reporting of Transaction Information specified in Article 4(1) of the Cabinet Office Order on the Regulation of Over-the-Counter Derivatives Transactions | FIEA: Financial Instruments and Exchange Act (Act No.25 of 1948) | 2024 | Requested | Approved | Link |
| US | Securities and Exchange Commission 17 CFR Part 240, Reporting of Securites Loans | Securities and Exchange Act 1934 | 2023 | Requested | Approved | Link |
| US | Securities and Exchange Commission 17CFR Parts 200, 201, 232, 240, 242, and 249, Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities | Securities and Exchange Act 1934 | 2023 | Requested | Approved | Link |
| US | Securities and Exchange Commission 17CFR Part 240 and 249, Short Position and Short Activity Reporting by Institutional Investment Managers | Securities and Exchange Act 1934 | 2023 | Requested | Approved | Link |
| EU | Council of the European Union, Council Directive amending Directive 2011/16/EU on administrative cooperation in the field of taxation | 2023 | Requested | Approved | Link | |
| Global | The Wolfsberg Group, Wolfsberg Group Payment Transparency Standards | 2023 | Recommended at national/regional level | Approved | Link | |
| China | People’s Republic of China, Guidelines for financial institutions environmental information disclosure JR/T 0227-2021 | 2021 | Requested | Approved | Link | |
| KOR | Financial Regulatory Innovation Committee (FRIC) Revision Bill abolishing the foreign investor registration requirement | Financial Investment Services and Capital Markets Act (FSCMA) | 2023 | Required | Approved | Link |
| IND | Securities and Exchange Board of India (SEBI) Circular SEBI/HO/DDHS/DDHS_Div1/P/CIR/2023/64 of May 3, 2023 | Securities and Exchange Board of India Act, 1992 | 2023 | Required | Approved | Link |
| IND | Reserve Bank of India RBI/2022-23/34 Legal Entity Identifier (LEI) for Borrowers from April 21, 2022 | 2022 | Requested | Approved | Link | |
| Australia | Australian Securities and Investments Commission (ASIC) Derivative Transaction Rules (Reporting) 2024 | 2022 | Required | Approved | Link | |
| IND | Securities and Exchange Board of India Circular SEBI/ HO/ AFD/AFD– PoD–2/CIR/P/2023/0127 July 27, 2023 Mandating Legal Entity Identifier (LEI) for all non – individual Foreign Portfolio Investors (FPIs) | Foreign Portfolio Investors Regime | 2023 | Required | Approved | Link |
| EU | Regulation (EU) 2023/1113 of the European Parliament and of the Council of 31 May 2023 on information accompanying transfers of funds and certain crypto-assets and amending Directive (EU) 2015/849 | Crypto-Assets | 2023 | Requested | Approved | Link |
| EU | Regulation (EU) 2023/1114 of the European Parliament and of the Council of 31 May 2023 on markets in crypto-assets, and amending Regulations (EU) No 1093/2010 and (EU) No 1095/2010 and Directives 2013/36/EU and (EU) 2019/1937 | Crypto-Assets | 2023 | Requested | Approved | Link |
| Canada | British Columbia Securities Commission 96-303 – Derivatives Data Reporting Transition Guidance [CSA Staff Notice]Multilateral Instrument 96-101 – Trade Repositories and Derivatives Data Reporting | Approved | Link | |||
| Global | Financial Stability Board (FSB) – Recommendations for supervisory and regulatory approaches to climate-related risks and calls for continued progress on disclosures | 2022 | Recommended at national/regional level | Approved | Link | |
| Global | OECD, Crypto-Asset Reporting Framework and Amendments to the Common Reporting Standard | 2022 | Recommended at national/regional level | Approved | Link | |
| Global | “Financial Stability Board (FSB) – Options to Improve Adoption of The LEI, in Particular for Use in Cross-border Payments” | 2022 | Recommended at national/regional level | Approved | Link | |
| Global | Bank for International Settlements (BIS) Corporate digital identity: no silver bullet, but a silver lining BIS Papers No 126 | 2022 | Recommended at national/regional level | Approved | Link | |
| US | Securities and Exchange Commission (SEC) Proposed Rule Amendments for Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices, Form N-CEN | Securities Exchange Act | 2022 | Required | Proposed | Link |
| Global | World Economic Forum (WEF) Defining and Measuring Payment Interoperability | 2022 | Recommended at national/regional level | Approved | Link | |
| Global | WTO, The promise of TradeTech chapter 3 – Global Digital Identity | 2022 | Recommended at national/regional level | Approved | Link | |
| Global | OECD, Public consultation document, Crypto-Asset Reporting Framework and Amendments to the Common Reporting Standard | 2022 | Recommended at national/regional level | Approved | Link | |
| US | Securities and Exchange Commission (SEC) Proposed Rule Short Position and Short Activity Reporting by Institutional Investment Managers | Securities Exchange Act | 2022 | Required | Proposed | Link |
| US | Securities and Exchange Commission (SEC) Proposed Rule Amendments Regarding the Definition of “Exchange” and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities | Securities Exchange Act | 2022 | Required | Proposed | Link |
| Mexico | Banco de Mexico Circular 14/2015, as modified by Circular 24/2017 of 27 December 2017 | Required | Approved | Link | ||
| Africa | Association of African Central Banks’ List of decisions | 2021 | Requested | Approved | Link | |
| Africa | African Development Bank: More Transparency for Better Business – the Potential of Legal Entity Identifiers for African Economies | 2020 | Requested | Approved | Link | |
| Asia | Asian Development Bank: 2021 Trade Finance Gaps, Growth, and Jobs Survey | 2021 | Requested | Approved | Link | |
| Asia | Asian Development Bank : Can the pandemic help end the paper chase that is hobbling international trade? | 2021 | Requested | Approved | Link | |
| Asia | Asian Development Bank :Trade and Legal Entity Identifier | 2019 | Requested | Approved | Link | |
| Asia | Asian Development Bank Legal Entity Identifier Accessibility: A Survey by the Trade Finance Program | 2019 | Requested | Approved | Link | |
| Global | GAIN DIGITAL TRUST : How Financial Institutions are taking a leadership role in the Digital Economy by establishing a Global Assured Identity Network | 2021 | Requested | Approved | Link | |
| Global | United Nations Capital Development Fund (UNCDF) Open Regulated Global Payments Inter-Network | 2022 | Requested | Approved | Link | |
| Global | Bank for International Settlements: Corporate digital identity: no silver bullet, but a silver lining | 2022 | Requested | Approved | Link | |
| Global | World Economic Forum Defining and Measuring Payment Interoperability | 2022 | Requested | Approved | Link | |
| Global | World Trade Organization & World Economic Forum, The promise of TradeTech: Policy approaches to harness trade digitalization | 2022 | Requested | Approved | Link | |
| Global | Wolfsberg Group Guidance on Digital Customer Lifecycle Risk Management | 2022 | Requested | Approved | Link | |
| Global | World Trade Organization & International Chamber of Commerce: Standards Toolkit for Cross-border Paperless Trade | 2022 | Requested | Approved | Link | |
| Global | International Chamber of Commerce: Reconceiving the global trade finance ecosystem | 2021 | Requested | Approved | Link | |
| Global | Financial Stability Board : G20 Roadmap for Enhancing Cross-border Payments First Consolidated Progress Report | 2021 | Requested | Approved | Link | |
| Global | SWIFT Payments Market Practice Group: Guiding principles for screening ISO 20022 payments | 2021 | Requested | Approved | Link | |
| Global | SWIFT Payments Market Practice Group: Global adoption of the LEI (Legal Entity Identifier) in ISO 20022 Payment Messages – 2021 | 2021 | Requested | Approved | Link | |
| Global | Business at OECD, B20 and IOE: Trade Finance, a flywheel effectto boost the economic recoverypost COVID 19 pandemic | 2021 | Requested | Approved | Link | |
| Global | Financial Stability Board Enhancing Cross-border Payments Stage 3 roadmap | 2020 | Requested | Approved | Link | |
| Global | Bank for International Settlements: Enhancing Cross-border Payments Stage 2 roadmap | 2020 | Requested | Approved | Link | |
| Global | Basel Committee on Banking Supervision Guidelines for “Sound management of risks related to money laundering and financing of terrorism” | 2020 | Requested | Approved | Link | |
| Global | International Finance Corporation World Bank Group: Navigating Essential Anti-Money Laundering and Combating the Financing of Terrorism Requirements in Trade Finance: A Guide for Respondent Banks | 2018 | Requested | Approved | Link | |
| Global | Committee on Payments and Market Infrastructures Correspondent banking – final report | 2016 | Requested | Approved | Link | |
| Global | Financial Stability Board (FSB) Options to Improve Adoption of the LEI, in Particular for Use in Cross-border Payments | 2022 | Requested | Approved | Link | |
| United Kingdom | Bank of England: Charting the Future of Post-Trade Findings from the Post-Trade Task Force | 2022 | Requested | Approved | Link | |
| United Kingdom | The Bank of England and fintech: public support for private innovation – speech by Dave Ramsden | 2021 | Requested | Approved | Link | |
| United Kingdom | Bank of England’s response to the van Steenis review on the Future of Finance | 2019 | Requested | Approved | Link | |
| United Kingdom | Securitisation Regulation (onshored) | 2020 | Required | Approved | Link | |
| United Kingdom | UK Prospectus Regulation | 2017 | Required | Approved | Link | |
| United Kingdom | UK Securities Financing Transactions Regulation | 2021 | Required | Approved | Link | |
| United Kingdom | UK EMIR | 2021 | Required | Approved | Link | |
| United Kingdom | Commission Delegated Regulation 2017/585 (RTS 23) as onshored | UK Markets in Financial Instruments Regulation (MiFIR) | 2021 | Required | Approved | Link |
| United Kingdom | Commission Delegated Regulation 2017/590 (RTS 22) as onshored | UK Markets in Financial Instruments Regulation (MiFIR) | 2021 | Required | Approved | Link |
| United Kingdom | RFB008: Excluded activities and prohibitions | 2019 | Required/Requested | Approved | Link | |
| United Kingdom | RFB007: Use of financial market infrastructures | 2019 | Required/Requested | Approved | Link | |
| United Kingdom | RFB006: Excluded activity entities | 2019 | Required/Requested | Approved | Link | |
| United Kingdom | RFB005: Joint and several liability arising from taxes | 2019 | Required/Requested | Approved | Link | |
| United Kingdom | RFB004 Intragroup financial reporting | 2019 | Required/Requested | Approved | Link | |
| United Kingdom | RFB003 Intragroup financial reporting (core) | 2019 | Required/Requested | Approved | Link | |
| United Kingdom | RFB002: Intragroup funding | 2019 | Required/Requested | Approved | Link | |
| United Kingdom | RFB001 Intragroup exposures | 2019 | Required/Requested | Approved | Link | |
| United Kingdom | Instructions for completing PRA110 | 2020 | Required/Requested | Approved | Link | |
| United Kingdom | PRA109 – Operational continuity | 2019 | Required/Requested | Approved | Link | |
| United Kingdom | Instructions for forecast profit or loss template (PRA107) | 2018 | Required/Requested | Approved | Link | |
| United Kingdom | Instructions for forecast balance sheet templates (PRA104 –PRA106) | 2018 | Required/Requested | Approved | Link | |
| United Kingdom | Instructions on filling in data-points in PRA103 Capital+ forecast annual | 2018 | Required/Requested | Approved | Link | |
| United Kingdom | Instructions on filling in data-points in PRA102 Capital+ forecast – | 2018 | Required/Requested | Approved | Link | |
| United Kingdom | Instructions on filling in data-points in PRA101 – Capital+ | 2018 | Required/Requested | Approved | Link | |
| United Kingdom | Loan level data collection for buy to let lending | Section 17 of the Bank of England Act 1998 | 2017 | Requested | Approved | Link |
| United Kingdom | Sterling Money Market Daily Reporting (SMMD) | Bank of England Act 1998 | Required | Approved | Link | |
| United Kingdom | Bank of England Prudential Regulation Authority (PRA) Recommendation to Obtain Legal Entity Identifier | 2014 | Required | Approved | Link | |
| Argentina | CNV General Resolution 775/2018 | National Securities Commission (CNV) | 2018 | Requested | Approved | Link |
| Argentina | Banco Central de la Republica Argentina, COMUNICACIÓN A 6387 of 12 November 2017 (repealing COMUNICACIÓN “A” 5642 of 7 October 2014 and COMUNICACIÓN “B” 11029 of 8 June 2015) | 2018 | Requested | Approved | Link | |
| Luxembourg | Circular CSSF 15/627 of 3 December 2015 | 2016 | Requested | Approved | Link | |
| South Africa | Conduct Standard for Reporting Obligations in Respect of Transactions in Over-the-Counter Derivatives | Financial Markets Act (Act 19 of 2012) | 2018 | Required | Approved | Link |
| Malaysia | Buying and Selling of Foreign Exchange (FX) by Non-Resident | 2022 | Required | Approved | Link | |
| Hong Kong | Investor identification regime at trading level for the securities market in Hong Kong (HKIDR) | Paragraph 5.6 of the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (Code of Conduct) [Draft] | 2022 | Optional | Approved | Link |
| Turkey | Central Securities Depository’s Letter for ensuring ISIN to LEI Linkage (Letter Number: 871) | 2019 | Required | Approved | Link | |
| Russia | Instructions of the Central Bank of Russia on 4104-Y of August 16, 2016 | 2016 | Required | Approved | Link | |
| Russia | Holders of depositary receipts are identified by international code | 2016 | Required | Approved | Link | |
| Russia | “Commentary on the procedure for filling out credit history indicators in accordance with Bank of Russia Regulation No. 758-P dated May 11, 2021” | 2021 | Requested | Approved | Link | |
| Russia | Central Bank of Russia Explanations on the Formation of the Supervisory reporting in XBRL Format Specialized Depositories | 2021 | Requested | Approved | Link | |
| Russia | On amendments to Bank of Russia Ordinance No. 4927‑U dated October 8, 2018 “On the list, forms and procedure for compiling and submitting reporting forms credit institutions to the Central Bank of the Russian Federation” | 2022 | Requested | Approved | Link | |
| Russia | Central Bank of Russia On the volume, forms, terms and procedure for compiling and submitting to Bank of Russia reporting by professional participants in the securities market securities, trade organizers and clearing organizations, as well as other information | 2022 | Requested | Proposed | Link | |
| Russia | Central Bank of Russia On the volume, forms, procedure and terms for compiling and submitting reports to the Bank of Russia by joint-stock investment funds, management companies of investment funds, mutual funds investment funds and non-state pension funds | 2022 | Requested | Proposed | Link | |
| Russia | Central Bank of Russia On the volume, forms, terms and the procedure for compiling and submitting reporting of a specialized depository | 2022 | Requested | Proposed | Link | |
| EU | OPINION OF THE EUROPEAN CENTRAL BANK of 7 June 2022 on the establishment and functioning of the European Single Access Point (ESAP)(CON/2022/20) | 2022 | Requested | Approved | Link | |
| EU | Eurosystem reply to the European Commission’s public consultations on the Renewed Sustainable Finance Strategy and the revision of the Non-Financial Reporting Directive | 2020 | Requested | Approved | Link | |
| EU | European Systemic Risk Board (ESRB) :The benefits of the Legal Entity Identifier for monitoring systemic risk | 2021 | Requested | Approved | Link | |
| EU | European Court of Auditors’s Special Report: Investment funds EU actions have not yet created a true single market benefiting investors | 2021 | Requested | Approved | Link | |
| EU | European Systemic Risk Board (ESRB)’s Recommendation of identifying legal entities (ESRB/2020/12) | 2020 | Requested | Approved | Link | |
| EU | European Banking Authority (EBA)’s Report on the Future AML/CFT Framework in the EU | 2020 | Requested | Approved | Link | |
| EU | ESCB/European banking supervision response to the European Commission’s public consultation on a new digital finance strategy for Europe/FinTech action plan | 2020 | Requested | Approved | Link | |
| EU | European Securities and Markets Authority (ESMA)’s response to the European Commission’s Consultation on a New Digital Finance Strategy for Europe | 2020 | Requested | Approved | Link | |
| EU | Fitness Check of EU Supervisory Reporting Requirements Report | 2019 | Requested | Approved | Link | |
| EU | Commission Delegated Regulation (EU) 2020/1226 of 12 November 2019 supplementing Regulation (EU) 2017/2402 of the European Parliament and of the Council and laying down regulatory technical standards specifying the information to be provided in accordance with the STS notification requirements Commission Implementing Regulation (EU) 2020/1227 of 12 November 2019 laying down implementing technical standards with regard to templates for the provision of information in accordance with the STS notification requirements | Article 27 of Regulation (EU) 2017/2402 of the European Parliament and of the Council of 12 December 2017 laying down a general framework for securitisation and creating a specific framework for simple, transparent and standardised securitisation | 2020 | Approved | Link | |
| EU | 2009/65/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) (recast) | Article 6 of Directive 2009/65/EC of the European Parliament and of the Council | Requested | Approved | Link | |
| EU | Regulation (EU) No 1333/2014 of the European Central Bank of 26 November 2014 concerning statistics on the money markets (ECB/2014/48) | Money Market Statistical Reporting (MMSR) Regulation | 2020 | Requested | Approved | Link |
| EU | EIOPA’s initiative on pensions data: Decision of the Board of Supervisors on EIOPA’s regular information requests towards NCAs regarding provision of occupational pensions information [EIOPA-BoS/18-114] and [EIOPA-BoS/20-362] | Article 35 of EIOPA’s Founding Regulation (EU) No 1094/2010; provisions of Directive (EU) 2016/23412 (IORP Directive) | Optional | Approved | Link | |
| EU | Commission Implementing Regulation (EU) 2020/1406 of 2 October 2020 laying down implementing technical standards with regard to procedures and forms for exchange of information and cooperation between competent authorities, ESMA, the Commission and other entities under Articles 24(2) and 25 of Regulation (EU) No 596/2014 of the European Parliament and of the Council on market abuse | Regulation (EU) No 596/2014 (MAR) | 2019 | Optional | Approved | Link |
| Australia | RG 265 Guidance on ASIC market integrity rules for participants of securities markets | 2020 | Requested | Approved | Link | |
| Australia | APRA Reporting Standard ARS 222 – Exposure to Related Entities | Financial Sector (Collection of Data) Act 2001, Part 3 Provision of documents to APRA | 2020 | Requested | Approved | Link |
| Australia | APRA Reporting Standard ARS 221.0 Large Exposures | Financial Sector (Collection of Data) Act 2001, Part 3 Provision of documents to APRA | 2020 | Requested | Approved | Link |
| Australia | REGULATORY GUIDE 265 Guidance on ASIC market integrity rules for participants of securities markets | Corporations Act 2001, Part 7.2A Supervision of financial markets | 2018 | Optional | Approved | Link |
| India | Reserve Bank of India Notification DBR.No.BP.BC.92/21.04.048/2017-18 dated November 02, 2017 Introduction of Legal Entity Identifier for large corporate borrowers | Section 21 and Section 35 A of BR Act, 1949 | 2017 | Required | Approved | Link |
| Canada | Rule 2800C Transaction Reporting for Debt Securities | 2016 | Requested | Approved | Link | |
| Canada | IIROC Dealer Member Rules | Investment Industry Regulatory Organization of Canada (IIROC) DRAFT amendments to IIROC Rule 18-0122 Universal Market Integrity Rules (UMIR) and the Dealer Member Rules (DMR) | 2021 | Required | Approved | Link |
| China | Order No. 7 [2021] of the People’s Bank of China | Measures for unified registration of chattel and guaranty of rights | 2021 | Optional | Approved | Link |
| China | No. 283 [2020] of the People’s Bank of China | Roadmap to Implement Legal Entity Identifier in China (2020-2022) | 2020 | Approved | Link | |
| China | No. 21 [2023] of the General Department of the State Administration of Foreign Exchange | Administrative Specification on Code Standards of Information Systems of State Administration of Foreign Exchange | 2023 | Optional | Approved | Link |
| China | N0. 217 [2021] of the People’s Bank of China, National Development and Reform Commission, Ministry of Finance of PRC, China Banking and Insurance Regulatory Commission, China Securities Regulatory Commission, State Administration of Foreign Exchange | Guiding opinions on promoting high-quality development of the reform and opening up of the corporate credit bond market | 2021 | Requested | Approved | Link |
| China | The Guidelines on Account Business of Central Government Bond Registration & Clearing Co., LTD. | 2020 | Required | Approved | Link | |
| China | People’s Bank of China: Five-Year Plan for Financial Standardization | 2022 | Requested | Approved | Link | |
| China | Cross-Border Interbank Payment System (CIPS): Cross-Border Interbank Payment System: Promote LEI in RMB Cross-border Payment Ecosystem | 2022 | Requested | Approved | Link | |
| US | SEC: The Lessons of Structured Data | 2021 | Requested | Approved | Link | |
| US | SEC: Statement on Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities | 2022 | Requested | Approved | Link | |
| US | U.S. Customs and Border Protection (CBP), Department of Homeland Security 87 FR 11726, Entry/Immediate Delivery Application and ACE Cargo Release | Paperwork Reduction Act of 1995 | 2022 | Required | Proposed | Link |
| US | Securities Exchange Commission (SEC) 17 CFR 275, 279, Amendments to Form PF To Require Current Reporting and Amend Reporting Requirements for Large Private Equity Advisers and Large Liquidity Fund Advisers | Investment Advisers Act | 2022 | Required | Proposed | Link |
| US | Securities and Exchange Commission (SEC) 17 CFR 270, Money Market Fund Reforms | Investment Company Act | 2022 | Required | Proposed | Link |
| EU | European Insurance and Occupational Pensions Authority (EIOPA) Guidelines on Legal Entity Identifier | Insurance and Reinsurance | 2021 | Recommended at national/regional level | Approved | Link |
| EU | European Banking Authority (EBA) Guidelines on cooperation and information exchange between prudential supervisors, AML/CFT supervisors and financial intelligence units under Directive 2013/36/EU | AML/CFT | 2022 | Requested | Approved | Link |
| US | Department of the Treasury Financial Crimes Enforcement Network (FinCEN), 31 CFR Part 1010 RIN 1506–AB49 Beneficial Ownership Information Reporting Requirements | Corporate Transparency Act (CTA) | 2022 | Requested | Proposed | Link |
| India | RBI/2021-22/137 A.P. (DIR Series) Circular No. 20 Introduction of Legal Entity Identifier for Cross-border Transactions | Foreign Exchange Management Act (FEMA) | 2021 | Requested | Approved | Link |
| Global | Wolfsberg Group Guiding principles for screening ISO 20022 payments | 2021 | Recommended at national/regional level | Approved | Link | |
| EU | Directive of the European Parliament and of the Council on credit servicers and credit purchasers and amending Directives2008/48/EC and 2014/17/EU | 2021 | Requested | Approved | Link | |
| US | H.R.2989 – Financial Transparency Act of 2021 | Financial Transparency Act | 2021 | Required | Proposed | Link |
| Global | Basel Committee on Banking SupervisionCommittee on Payments and Market Infrastructures Board of the International Organization of Securities Commissions Consultative report Review of margining practices | 2022 | Recommended at national/regional level | Proposed | Link | |
| Global | Financial Action Task Force (FATF) Updated Guidance for a risk-based approach Virtual Assets and Virtual Asset Service Providers | 2021 | Recommended at national/regional level | Approved | Link | |
| Global | Financial Action Task Force (FATF) Cross-Border Payments Survey Results on Implementation of the FATF Standards October 2021 | 2021 | Recommended at national/regional level | Approved | Link | |
| EU | European Banking Authority (EBA) Draft Regulatory Technical Standards On disclosure of investment policy by investment firms under Article 52 of Regulation (EU) 2019/2033 on the prudential requirements of investment firms | IFD (Investment Firms Directive) | 2022 | Required | Approved | Link |
| US | Securities and Exchange Commission (SEC) 17 CFR Parts 232, 240, 249, 270, and 274, Amended Form N-PX | Investment Company Act | 2022 | Requested | Proposed | Link |
| US | Securities and Exchange Commission (SEC) 17 CFR Parts 200, 240, and 249 Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers | Dodd-Frank Act | 2020 | Required | Approved | Link |
| Argentina | Central Bank of Argentina Announcements A 5642 and B 11029 | 2015 | Required | Approved | Link | |
| Australia | Australian Securities and Investments Commission (ASIC) OTC Derivative Transaction Rules (Reporting) 2013 | Corporations Act | 2013 | Requested | Approved | Link |
| Australia | Guidance on Australian Securities and Investments Commission (ASIC) Market Integrity Rules for Competition in Exchange Markets (Australia) | Corporations Act | 2015 | Requested | Approved | Link |
| Australia | Australian Securities and Investments Commission (ASIC) Derivative Transaction Rules (Clearing) 2015 | Corporations Act | 2015 | Requested | Approved | Link |
| Canada | Investment Industry Regulatory Organization of Canada (IIROC) Canada Debt Securities Transaction Reporting | Derivatives Act | 2015 | Requested | Approved | Link |
| Canada | Alberta Securities Commission (ASC); 96-101 – Trade Repositories and Derivatives Data Reporting [MI] | Derivatives Act | 2016 | Required | Approved | Link |
| Canada | CSA Notice of Amendments to National Instrument 45-106 Prospectus Exemptions relating to Reports of Exempt Distribution | 2016 | Requested | Approved | Link | |
| EU | European Insurance and Occupational Pensions Authority (EIOPA) BoS-14-026 Guidelines on the use of LEI | Insurance and reinsurance | 2015 | Required | Approved | Link |
| EU | Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories (EMIR) | EMIR | 2014 | Required | Approved | Link |
| EU | Commission Implementing Regulation (EU) No 1247/2012 of 19 December 2012 laying down implementing technical standards with regard to the format and frequency of trade reports to trade repositories according to Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories | EMIR | 2014 | Required | Approved | Link |
| EU | Commission Implementing Regulation (EU) No 1249/2012 of 19 December 2012 laying down implementing technical standards with regard to the format of the records to be maintained by central counterparties according to Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories | EMIR | 2013 | Required | Approved | Link |
| EU | European Security and Markets Authority (ESMA) Guidelines on reporting obligations under Articles 3(3)(d) and 24(1), (2) and (4) of the Alternative Investment Fund Managers Directive (AIFMD) | AIFMD | 2014 | Requested | Approved | Link |
| EU | Commission Delegated Regulation (EU) 2015/1 of 30 September 2014 supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with regard to regulatory technical standards for the periodic reporting on fees charged by credit rating agencies for the purpose of ongoing supervision by the European Securities and Markets Authority Text with EEA relevance | CRA I (Credit Rating Agencies) | 2016 | Required | Approved | Link |
| EU | Commission Delegated Regulation (EU) 2015/2 of 30 September 2014 supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with regard to regulatory technical standards for the presentation of the information that credit rating agencies make available to the European Securities and Markets Authority Text with EEA relevance | CRA I (Credit Rating Agencies) | 2016 | Required | Approved | Link |
| EU | Commission Delegated Regulation (EU) 2015/3 of 30 September 2014 supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with regard to regulatory technical standards on disclosure requirements for structured finance instruments Text with EEA relevance | CRA I (Credit Rating Agencies) | 2017 | Required | Approved | Link |
| EU | European Banking Authority (EBA) Recommendation On the use of the Legal Entity Identifier (LEI) | 2014 | Required | Approved | Link | |
| EU | Commission delegated Regulation (EU) 2015/2303 of 28.7.2015 supplementing Directive 2002/87/EC of the European Parliament and of the Council with regard to regulatory technical standards specifying the definitions and coordinating the supplementary supervision of risk concentration and intra-group transactions | FICOD (Supervision of Financial Conglomerates) | 2015 | Requested | Approved | Link |
| EU | European Banking Authority (EBA) XBRL Filing Rules | 2018 | Required | Approved | Link | |
| EU | Regulation (EU) 2015/2365 of the European Parliament and of the Council of 25 November 2015 on transparency of securities financing transactions and of reuse and amending Regulation (EU) No 648/2012 | SFTR (Securities Financing Transactions Regulation) | 2017 | Required | Approved | Link |
| EU | Commission implementing Regulation (EU) 2015/2452 of 2 December 2015 laying down implementing technical standards with regard to the procedures, formats and templates of the solvency and financial condition report in accordance with Directive 2009/138/EC of the European Parliament and of the Council | Solvency II | 2016 | Required | Approved | Link |
| EU | Commission implementing Regulation (EU) No 1348/2014 of 17 December 2014 on data reporting implementing Article 8(2) and Article 8(6) of Regulation (EU) No 1227/2011 of the European Parliament and of the Council on wholesale energy market integrity and transparency | REMIT | 2015 | Requested | Approved | Link |
| EU | Commission Implementing Regulation (EU) 2016/378 of 11 March 2016 laying down implementing technical standards with regard to the timing, format and template of the submission of notifications to competent authorities according to Regulation (EU) No 596/2014 of the European Parliament and of the Council | MAR (Market Abuse) | 2016 | Required | Approved | Link |
| EU | Commission Implementing Regulation (EU) 2016/523 of 10 March 2016 laying down implementing technical standards with regard to the format and template for notification and public disclosure of managers’ transactions in accordance with Regulation (EU) No 596/2014 of the European Parliament and of the Council | MAR (Market Abuse) | 2016 | Required | Approved | Link |
| EU | Commission Delegated Regulation (EU) 2016/2022 of 14 July 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards concerning the information for registration of third-country firms and the format of information to be provided to the clients | MiFID II/MiFIR | 2016 | Required | Approved | Link |
| EU | Commission Delegated Regulation (EU) 2017/590 of 28 July 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the reporting of transactions to competent authorities | MiFID II/MiFIR | 2016 | Required | Approved | Link |
| EU | Commission delegated Regulation (EU) 2016/1712 of 7 June 2016 supplementing Directive 2014/59/EU of the European Parliament and of the Council establishing a framework for the recovery and resolution of credit institutions and investment firms with regard to regulatory technical standards specifying a minimum set of the information on financial contracts that should be contained in the detailed records and the circumstances in which the requirement should be imposed | BRRD (Bank Recovery and Resolution) | 2016 | Requested | Approved | Link |
| EU | European Security and Markets Authority (ESMA) Guidelines on transaction reporting, order record keeping and clock synchronisation under MiFID II | MiFID II/MiFIR | 2016 | Required | Approved | Link |
| Hong Kong | Interim reporting requirements for OTC derivative transactions | OTC Trade Repository | 2013 | Requested | Approved | Link |
| Israel | Bank of Israel Order (Information Regarding Transactions in Foreign Currency Derivatives, Index Derivatives, and Interest Rate Derivatives), 5776–2016 | 2017 | Required | Approved | Link | |
| Mexico | Central Bank of Mexico Circular 14/2015 | Required | Approved | Link | ||
| Russia | Central Bank of Russia Financial market regulation Identification of securities owners that are entities that perform the record keeping of securities ownership (nominee holders, depositories, including foreign entities) | 2014 | Required | Approved | Link | |
| Singapore | Monetary Authority of Singapore (MAS) OTC Derivatives Trade Reporting – Securities and Futures Act (Chapter 289) | Securities and Futures Act | 2014 | Required | Approved | Link |
| United Kingdom | Bank of England Prudential Regulation Authority (PRA) Recommendation to Obtain Legal Entity Identifier | 2014 | Required | Approved | Link | |
| US | Commodity Futures Trading Commission Final Rule for Trade Options | CEA (Commodity Exchange Act) | 2020 | Required | Approved | Link |
| US | Commodity Futures Trading Commission (CFTC) Ownership and Control Reports, Forms 102/102S, 40/40S, and 71; Final Rule | CEA (Commodity Exchange Act) | 2015 | Requested | Approved | Link |
| US | Securities and Exchange Commission (SEC) 17 CFR Parts 275 and 279 Rules Implementing Amendments to the Investment Advisers Act of 1940 | Investment Advisers Act | 2012 | Requested | Approved | Link |
| US | Securities and Exchange Commission (SEC) Form ADV uniform application for investment adviser registration and report by exempt reporting advisers | Investment Advisers Act | 2015 | Requested | Approved | Link |
| US | Commodity Futures Trading Commission (CFTC), Securities and Exchange Commission (SEC) 17 CFR Parts 4, 275 and 279 Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF; Final Rule | Investment Advisers Act | 2013 | Requested | Approved | Link |
| US | Securities and Exchange Commission (SEC) Form PF Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors | Investment Advisers Act | 2013 | Requested | Approved | Link |
| US | Commodity Futures Trading Commission (CFTC) Swap Data Record Keeping and Reporting Rule (Parts 45 46) | CEA (Commodity Exchange Act) | 2012 | Required | Approved | Link Link |
| US | Federal Reserve Announcement of Board Approval Under Delegated Authority and Submission to OMB | 2015 | Requested | Approved | Link | |
| US | Municipal Securities Rulemaking Board (MSRB) Registration Form A-12 | 2014 | Required | Approved | Link | |
| US | Securities and Exchange Commission (SEC) 17 CFR Part 242 Consolidated Audit Trail; Final Rule | 2012 | Optional | Approved | Link | |
| US | Securities and Exchange Commission 17 CFR Parts 232, 240, 249, and 249b Nationally Recognized Statistical Rating Organizations Final Rule | 2014 | Requested | Approved | Link | |
| US | Securities and Exchange Commission (SEC) FORM N-MFP Monthly Schedule Of Portfolio Holdings Of Money Market Funds | 2014 | Requested | Approved | Link | |
| US | Securities and Exchange Commission 17 CFR Parts 230, 239, 270, 274 and 279 Money Market Fund Reform; Amendments to Form PF | Investment Company Act | 2015 | Requested | Approved | Link |
| US | Securities and Exchange Commission 17 CFR Part 242 Regulation SBSR—Reporting and Dissemination of Security-Based Swap Information | Securities Exchange Act | 2015 | Required | Approved | Link |
| US | Department of the Treasury 12 CFR Part 43, Federal Reserve System 12 CFR Part 244, Federal Deposit Insurance Corporation 12 CFR Part 373, Federal Housing Finance Agency 12 CFR Part 1234, Securities and Exchange Commission 17 CFR Part 246, Department of Housing and Urban Development 24 CFR Part 267, Credit Risk Retention; Rule | Securities Exchange Act | 2016 | Requested | Approved | Link |
| US | Securities and Exchange Commission (SEC) 17 CFR Parts 200, 210, 232, 239, 240, 249, 270, 274 [Release Nos. 33-10231; 34-79095; IC-32314; File No. S7-08-15] RIN 3235-AL42 Investment Company Reporting Modernization | Investment Company Act | 2016 | Required | Approved | Link |
| US | Department of the Treasury 31 CFR Part 148 RIN 1505–AC46 Qualified Financial Contracts Recordkeeping Related to Orderly Liquidation Authority | Dodd-Frank Act | 2016 | Required | Approved | Link |
| Canada | Autorité des marchés financiers (AMF) Québec Regulation 91-507 respecting trade repositories and derivatives data reporting | Derivatives Act | 2016 | Requested | Approved | Link |
| Canada | Amendments to OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting | Derivatives Act | 2016 | Requested | Approved | Link |
| Canada | CSA Multilateral Notice of Approval Instrument 91-101 Derivatives: Product Determination and Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting and Changes to Related Companion Policies | Derivatives Act | 2016 | Requested | Approved | Link |
| EU | European Security and Markets Authority (ESMA) Final Report MiFID II/MiFIR draft Technical Standards on authorisation, passporting, registration of third country firms and cooperation between competent authorities | MiFID II/MiFIR | 2018 | Requested | Approved | Link |
| EU | European Security and Markets Authority (ESMA) MiFID II/MiFIR – Regulatory technical and implementing standards–Annex I | MiFID II/MiFIR | 2017 | Required | Approved | Link |
| EU | European Security and Markets Authority (ESMA) Final Report Draft implementing technical standards under MiFID II | MiFID II/MiFIR | 2016 | Required | Approved | Link |
| EU | European Security and Markets Authority (ESMA) Final Report Draft technical standards on the Market Abuse Regulation | MAR (Market Abuse) | 2016 | Required | Approved | Link |
| EU | European Security and Markets Authority (ESMA) Final Report Draft Regulatory Technical Standards on European Electronic Access Point (EEAP) | 2017 | Required | Approved | Link | |
| EU | ESMA Final Report Draft Regulatory Technical Standards for CRA 3 | CRA III (Credit Rating Agencies) | 2017 | Required | Approved | Link |
| EU | European Security and Markets Authority (ESMA) Final Report Draft regulatory technical standards on settlement discipline under the Regulation No 909/2014 of the European Parliament and of the Council of 23 July 2014 on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and regulation (EU) No 236/2012 (CSDR) | CSDR (Central Securities Repositories) | 2018 | Required | Proposed | Link |
| US | Home Mortgage Disclosure (Regulation C) | HMDA (Home Mortgage Disclosure Act) | 2018 | Required | Approved | Link |
| US | Commodities Futures Trading Commission (CFTC) 17 CFR Part 43, 45, and 49 Certain Swap Data Repository and Data Reporting Requirements | CEA (Commodity Exchange Act) | 2020 | Required | Approved | Link |
| Global | Financial Stability Board (FSB) Standards and Processes for Global Securities Financing Data Collection and Aggregation | 2015 | Recommended at national/regional level | Proposed | Link | |
| Global | Financial Stability Board (FSB) Report to the G20 on actions taken to assess and address the decline in correspondent banking | 2016 | Recommended at national/regional level | Proposed | Link | |
| EU | Commission Implementing Regulation (EU) 2016/2070 of 14 September 2016 laying down implementing technical standards for templates, definitions and IT-solutions to be used by institutions when reporting to the European Banking Authority and to competent authorities in accordance with Article 78(2) of Directive 2013/36/EU of the European Parliament and of the Council | CRR (Capital Requirements Regulation) | 2017 | Required | Approved | Link |
| EU | Commission Delegated Regulation (EU) 2016/1437 of 19 May 2016 supplementing Directive 2004/109/EC of the European Parliament and of the Council with regard to regulatory technical standards on access to regulated information at Union level (Text with EEA relevance) | Transparency | 2017 | Required | Approve | Link |
| EU | Commission Delegated Regulation (EU) 2017/2055 of 23 June 2017 supplementing Directive (EU) 2015/2366 of the European Parliament and of the Council with regard to regulatory technical standards for the cooperation and exchange of information between competent authorities relating to the exercise of the right of establishment and the freedom to provide services of payment institutions | PSD II (Payment Services) | 2017 | Requested | Approved | Link |
| US | FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) | Securities Exchange Act | 2020 | Required | Approved | Link |
| EU | Commission Implementing Regulation (EU) 2017/394 of 11 November 2016 laying down implementing technical standards with regard to standard forms, templates and procedures for authorisation, review and evaluation of central securities depositories, for the cooperation between authorities of the home Member State and the host Member State, for the consultation of authorities involved in the authorisation to provide banking-type ancillary services, for access involving central securities depositories, and with regard to the format of the records to be maintained by central securities depositories in accordance with Regulation (EU) No 909/2014 of the European Parliament and of the Council | CSDR (Central Securities Repositories) | 2017 | Required | Approved | Link |
| EU | Commission Implementing Regulation (EU) 2017/393 of 11 November 2016 laying down implementing technical standards with regard to the templates and procedures for the reporting and transmission of information on internalised settlements in accordance with Regulation (EU) No 909/2014 of the European Parliament and of the Council | CSDR (Central Securities Repositories) | 2017 | Required | Approved | Link |
| EU | European Security and Markets Authority (ESMA) Final Report Technical standards under SFTR and certain amendments to EMIR | SFTR (Securities Financing Transactions Regulation) | 2017 | Required | Approved | Link |
| EU | Commission Delegated Regulation (EU) 2017/576 of 8 June 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the annual publication by investment firms of information on the identity of execution venues and on the quality of execution | MiFID II/MiFIR | 2018 | Required | Approved | Link |
| EU | Commission Delegated Regulation (EU) 2017/575 of 8 June 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards concerning the data to be published by execution venues on the quality of execution of transactions | MiFID II/MiFIR | 2018 | Required | Approved | Link |
| EU | Commission Delegated Regulation (EU) 2017/580 of 24 June 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the maintenance of relevant data relating to orders in financial instruments | MiFID II/MiFIR | 2018 | Required | Approved | Link |
| EU | Commission Delegated Regulation (EU) 2017/589 of 19 July 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards specifying the organisational requirements of investment firms engaged in algorithmic trading | MiFID II/MiFIR | 2018 | Required | Approved | Link |
| EU | Commission Delegated Regulation (EU) 2017/583 of 14 July 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on transparency requirements for trading venues and investment firms in respect of bonds, structured finance products, emission allowances and derivatives | MiFID II/MiFIR | 2018 | Required | Approved | Link |
| EU | Commission Delegated Regulation (EU) 2017/585 of 14 July 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the data standards and formats for financial instrument reference data and technical measures in relation to arrangements to be made by the European Securities and Markets Authority and competent authorities | MiFID II/MiFIR | 2018 | Required | Approved | Link |
| EU | Proposal for a Regulation of the European Parliament and of the Council amending Regulation (EU) No 648/2012 as regards the clearing obligation, the suspension of the clearing obligation, the reporting requirements, the risk-mitigation techniques for OTC derivatives contracts not cleared by a central counterparty, the registration and supervision of trade repositories and the requirements for trade repositories | EMIR | Required | Proposed | Link | |
| Global | Committee on Payments and Market Infrastructures, Board of the International Organization of Securities Commissions, Technical Guidance: Harmonisation of the Unique Transaction Identifier | 2017 | Recommended at national/regional level | Proposed | Link | |
| EU | Regulation (EU) 2017/1129 of the European Parliament and of the Council on the prospectus to be published when securities are offered to the public or admitted to trading on a regulated market, and repealing Directive 2003/71/EC | Prospectus Regulation | 2017 | Required | Approved | Link |
| India | Reserve Bank of India Notification RBI/2016-17/314 FMRD.FMID No.14/11.01.007/2016-17 Introduction of Legal Entity Identifier for OTC derivatives markets | RBI 1934 (Reserve Bank of India Act) | 2017 | Required | Approved | Link |
| EU | Commission Implementing Regulation (EU) 2017/1005 of 15 June 2017 laying down implementing technical standards with regard to the format and timing of the communications and the publication of the suspension and removal of financial instruments pursuant to Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments | MiFID II/MiFIR | 2017 | Required | Approved | Link |
| EU | Commission Implementing Regulation (EU) 2017/1093 of 20 June 2017 laying down implementing technical standards with regard to the format of position reports by investment firms and market operators | MiFID II/MiFIR | 2018 | Required | Approved | Link |
| EU | Commission Implementing Regulation (EU) 2017/1443 of 29 June 2017 amending Implementing Regulation (EU) No 680/2014 laying down implementing technical standards with regards to supervisory reporting of institutions according to Regulation (EU) No 575/2013 of the European Parliament and of the Council | CRR (Capital Requirements Regulation) | 2017 | Required | Approved | Link |
| US | Data Collection for Analytics and Surveillance and Market-Based Rate Purposes | Federal Power Act (FPA) | 2021 | Required | Approved | Link |
| EU | European Security and Markets Authority (ESMA) Final Report Draft technical standards on data to be made publicly available by TRs under Article 81 of EMIR | EMIR | 2017 | Required | Proposed | Link |
| EU | Commission Delegated Regulation (EU) 2017/392 of 11 November 2016 supplementing Regulation (EU) No 909/2014 of the European Parliament and of the Council with regard to regulatory technical standards on authorisation, supervisory and operational requirements for central securities depositories | CSDR (Central Securities Repositories) | 2017 | Required | Approved | Link |
| Canada | CSA Notice of National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions and Related Companion Policy | Derivatives Act | 2017 | Required | Approved | Link |
| Canada | Province of British Columbia Rule of the British Columbia Securities Commission Securities Act Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting | Derivatives Act | 2016 | Required | Approved | Link |
| Switzerland | Swiss Financial Market Supervisory Authority FINMA Circular 2018/2 Duty to report securities transaction | Financial Market Infrastructure Act (FMIA) | 2017 | Required | Approved | Link |
| Global | International Monetary Fund (IMF) and Financial Stability Board (FSB) The Financial Crisis and Information Gaps, Second Phase of the G-20 Data Gaps Initiative (DGI-2) Second Progress Report | 2017 | Recommended at national/regional level | Proposed | Link | |
| Global | Governance arrangements for the unique transaction identifier (UTI) Conclusions and implementation plan | 2018 | Recommended at national/regional level | Proposed | Link | |
| Malaysia | Financial Markets Committee (FMC) and Bank Negara Malaysia (Central Bank of Malaysia) Real-time Electronic Transfer of Funds and Securities System (RENTAS) | RENTAS | 2018 | Required | Approved | Link |
| EU | Commission Delegated Regulation (EU) 2017/2055 of 23 June 2017 supplementing Directive (EU) 2015/2366 of the European Parliament and of the Council with regard to regulatory technical standards for the cooperation and exchange of information between competent authorities relating to the exercise of the right of establishment and the freedom to provide services of payment institutions | PSD II (Payment Services) | 2017 | Requested | Approved | Link |
| EU | European Security and Markets Authority (ESMA) Questions and Answers on MiFIR data reporting | MiFID II/MiFIR | 2017 | Requested | Approved | Link |
| EU | Regulation (EU) 2016/867 of the European Central Bank of 18 May 2016 on the collection of granular credit and credit risk data (ECB/2016/13) | Ana Credit | 2017 | Requested | Approved | Link |
| EU | Guideline (EU) 2017/2335 of the European Central Bank of 23 November 2017 on the procedures for the collection of granular credit and credit risk data (ECB/2017/38) | Ana Credit | 2017 | Requested | Approved | Link |
| EU | Commission Implementing Regulation (EU) No 680/2014 of 16 April 2014 laying down implementing technical standards with regard to supervisory reporting of institutions according to Regulation (EU) No 575/2013 of the European Parliament and of the Council | 2014 | Requested | Approved | Link | |
| Japan | Financial Instruments and Exchange Act | Financial Instruments and Exchange Act | 2015 | Requested | Approved | Link |
| Japan | Cabinet Office Ordinance No.48 of July 11, 2012 on the Regulation of Over-the-Counter Derivatives Transactions | Financial Instruments and Exchange Act | 2015 | Requested | Approved | Link |
| South Africa | Discussion Paper on the Implementation of Legal Entity Identifiers | Financial Markets Act | 2018 | Required | Approved | Link |
| EU | European Security and Markets Authority (ESMA) Draft Implementing Technical Standards on forms and procedures for cooperation under Article 24 and 25 of Regulation (EU) No 596/2014 on market abuse | MAR (Market Abuse) | 2018 | Required | Proposed | Link |
| Mexico | CIRCULAR 25/2017 dirigida a las instituciones de crédito, casas de bolsa, fondos de inversión, sociedades financieras de objeto múltiple que tengan vínculos patrimoniales con una institución de banca múltiple, almacenes generales de depósito y a la financiera, relativa a las modificaciones a la Circular 4/2012 (Operaciones Derivadas). | 2017 | Required | Approved | Link | |
| Hong Kong | Hong Kong Monetary Authority (HKMA) and Securites and Futures Commission (SFC) Joint consultation paper on enhancements to the OTC derivatives regime for Hong Kong to – (1) mandate the use of Legal Entity Identifiers for the reporting obligation, (2) expand the clearing obligation and (3) adopt a trading determination process for introducing a platform trading obligation, March 2018 | OTC derivatives regulatory regime | 2018 | Required | Approved | Link |
| Global | Committee on Payments and Market Infrastructures Board of the International Organization of Securities Commissions Technical Guidance Harmonisation of critical OTC derivatives data elements (other than UTI and UPI) | 2018 | Recommended at national/regional level | Proposed | Link | |
| US | Reporting Forms – FFIEC 016 Annual Dodd-Frank Act Company-Run Stress Test Report for Depository Institutions and Holding Companies with $10-$50 Billion in Total Consolidated Assets | Dodd-Frank Act | 2018 | Requested | Approved | Link |
| India | Statement on Developmental and Regulatory Policies Reserve Bank of India, October 04, 2017 | 2018 | Requested | Approved | Link | |
| China | Order of the People’s Bank of China (No. 3 [2017] The Measures for the Registration of Pledged receivables as amended and issued by the People’s Bank of China | 2017 | Requested | Approved | Link | |
| EU | Commission Implementing Regulation (EU) 2018/708 of 17 April 2018 laying down implementing technical standards with regard to the template to be used by managers of money market funds when reporting to competent authorities as stipulated by Article 37 of Regulation (EU) 2017/1131 of the European Parliament and of the Council | UCITS | 2018 | Required | Approved | Link |
| Malaysia | Financial Markets Committee (FMC) and Bank Negara Malaysia (Central Bank of Malaysia) RENTAS Segregated Securities Account | RENTAS | 2018 | Required | Approved | Link |
| India | Legal Entity Identifier Code for participation in non-derivative markets | RBI 1934 (Reserve Bank of India Act) | 2018 | Required | Approved | Link |
| Hong Kong | Hong Kong Monetary Authority (HKMA) and Securites and Futures Commission (SFC) Joint consultation conclusions paper on enhancements to the OTC derivatives regime for Hong Kong to – (1) mandate the use of Legal Entity Identifiers for the reporting obligation, (2) expand the clearing obligation and (3) adopt a trading determination process for introducing a platform trading obligation, June 2018 | OTC derivatives regulatory regime | 2019 | Required | Approved | Link |
| EU | European Security and Markets Authority (ESMA) Consultation Paper – Draft technical advice on minimum information content for prospectus exemption | Prospectus Regulation | 2019 | Required | Proposed | Link |
| US | Department of the Treasury 12 CFR Part 1610 Ongoing Data Collection of Centrally Cleared Transactions in the U.S. Repurchase Agreement Market | Dodd-Frank Act | 2019 | Required | Approved | Link |
| EU | Commission Delegated Regulation (EU) 2021/1722 of 18 June 2021 supplementing Directive (EU) 2015/2366 of the European Parliament and of the Council with regard to regulatory technical standards specifying the framework for cooperation and the exchange of information between competent authorities of the home and the host Member States in the context of supervision of payment institutions and electronic money institutions exercising cross-border provision of payment services | PSD II (Payment Services) | 2021 | Required | Approved | Link |
| EU | Commission Implementing Regulation (EU) 2018/1212 of 3 September 2018 laying down minimum requirements implementing the provisions of Directive 2007/36/EC of the European Parliament and of the Council as regards shareholder identification, the transmission of information and the facilitation of the exercise of shareholders rights | Shareholder Rights Directive | 2018 | Required | Approved | Link |
| EU | Commission Delegated Regulation (EU) 2018/1229 of 25 May 2018 supplementing Regulation (EU) No 909/2014 of the European Parliament and of the Council with regard to regulatory technical standards on settlement discipline | CSDR (Central Securities Repositories) | 2020 | Required | Approved | Link |
| Turkey | Bylaw on Foundation, Operation and Supervision Principles of Data Storage Organisations within the framework of Article 87 of the Capital Market Law (Law No. 6362) | Capital Markets Law | 2018 | Required | Approved | Link |
| Mexico | Central Bank of Mexico Guía dirigida a los Intermediarios Financieros para el uso del Código LEI. | 2018 | Required | Approved | Link | |
| US | Federal Deposit Insurance Corporation (FDIC) 12 CFR Part 371 RIN 3064–AE54 Recordkeeping Requirements for Qualified Financial Contracts | 12 CFR Part 371 – Recordkeeping Requirements for Qualified Financial Contracts (QFC) | 2017 | Required | Approved | Link |
| US | Reporting Forms – FFIEC 03 and 041 Consolidated Reports of Condition and Income for a Bank with Domestic and Foreign Offices | Federal Financial Institutions Examination Council (FFIEC) Quarterly Consolidated Reports of Condition and Income | 2016 | Required | Approved | Link |
| Global | Financial Stability Board (FSB) Second Phase of the G20 Data Gaps Initiative (DGI-2) | 2018 | Recommended at national/regional level | Proposed | Link | |
| India | Reserve Bank of India Notification No.FMRD.FMID.08/2018 dated October 05, 2018 The Electronic Trading Platforms (Reserve Bank) Directions, 2018 | RBI 1934 (Reserve Bank of India Act) | 2018 | Required | Approved | Link |
| India | Securities and Exchange Board of India Circular SEBI/HO/CDMRD/DMP/CIR/P/2018/134 of October 9, 2018 Annexure: Regulatory framework for Eligible Foreign Entities (EFEs) in Commodity Derivatives Segment | Securities and Exchange Board of India Act 1992 | 2018 | Required | Approved | Link |
| EU | Commission Delegated Regulation (EU) 2018/1645 of 13 July 2018 supplementing Regulation (EU) 2016/1011 of the European Parliament and of the Council with regard to regulatory technical standards for the form and content of the application for recognition with the competent authority of the Member State of reference and of the presentation of information in the notification to European Securities and Markets Authority (ESMA) | Benchmark Regulation | 2019 | Required | Approved | Link |
| EU | Commission Implementing Regulation (EU) 2018/1624 of 23 October 2018 laying down implementing technical standards with regard to procedures and standard forms and templates for the provision of information for the purposes of resolution plans for credit institutions and investment firms pursuant to Directive 2014/59/EU of the European Parliament and of the Council, and repealing Commission Implementing Regulation (EU) 2016/1066 | BRRD (Bank Recovery and Resolution) | 2018 | Requested | Approved | Link |
| Global | Irving Fisher Committee (IFC) and Bank for International Settlements (BIS) Report Central banks and trade repositories derivatives data | 2018 | Recommended at national/regional level | Proposed | Link | |
| EU | European Security and Markets Authority (ESMA) Final Report Securitisation Regulation technical standards on securitisation repository application requirements, operational standards, and access conditions | Securitisation Regulation | 2019 | Required | Proposed | Link |
| EU | Commission Implementing Regulation (EU) 2018/1844 of 27 November 2019 amending and correcting Implementing Regulation (EU) 2015/2450 laying down implementing technical standards with regard to the templates for the submission of information to the supervisory authorities in accordance with Directive 2009/13820/EC of the European Parliament and of the Council | Solvency II | 2019 | Required | Approved | Link |
| Australia | ASIC Corporations (Derivative Transaction Reporting Exemption) Instrument 2015/844 | Corporations Act | 2015 | Required | Approved | Link |
| EU | COMMISSION IMPLEMENTING REGULATION (EU) 2019/363 of 13 December 2018 laying down implementing technical standards with regard to the format and frequency of reports on the details of securities financing transactions (SFTs) to trade repositories in accordance with Regulation (EU) 2015/2365 of the European Parliament and of the Council and amending Commission Implementing Regulation (EU) No 1247/2012 with regard to the use of reporting codes in the reporting of derivative contracts | SFTR (Securities Financing Transactions Regulation) | 2019 | Required | Link | |
| Canada | Investment Industry Regulatory Organization of Canada (IIROC) Rules Notice 19-0071, Amendments Respecting Client Identifiers | UMIR / DMR | 2019 | Required | Approved | Link |
| Global | United Nations (UN) Report of the Inter-agency Task Force on Financing for Development Financing For Sustainable Development Report 2019 | 2019 | Recommended at national/regional level | Proposed | Link | |
| EU | Regulation (EU) 2019/834 of the European Parliament and of the Council of 20 May 2019 amending Regulation (EU) No 648/2012 as regards the clearing obligation, the suspension of the clearing obligation, the reporting requirements, the risk-mitigation techniques for OTC derivative contracts not cleared by a central counterparty, the registration and supervision of trade repositories and the requirements for trade repositories | EMIR | 2019 | Required | Approved | Link |
| EU | Money Market Fund Reporting Technical Reporting Instructions | MMF (Money Market Fund Regulation) | 2020 | Required | Approved | Link |
| EU | Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012 | MiFID II/MiFIR | 2017 | Required | Approved | Link |
| Canada | Manitoba Securities Commission (MSC) Rule 2016-11 91-507 – Trade Repositories and Derivatives Data Reporting – Amendments | Derivatives Act | 2016 | Required | Approved | Link |
| Canada | British Columbia Securities Commission (BCSC) National Instrument 24-102 Clearing Agency Requirements | Securities Act | 2016 | Requested | Approved | Link |
| Global | FSB Letter – To G20 Finance Ministers and Central Bank Governors | 2019 | Recommended at national/regional level | Approved | Link | |
| Global | OTC Derivatives Market Reforms 2019 Progress Report on Implementation | 2019 | Recommended at national/regional level | Approved | Link | |
| EU | Commission Delegated Regulation (EU) 2020/1224 of 16 October 2019 supplementing Regulation (EU) 2017/2402 of the European Parliament and of the Council with regard to regulatory technical standards specifying the information and the details of a securitisation to be made available by the originator, sponsor and SSPE | Securisation Regulation | 2020 | Required | Approved | Link |
| EU | European Securities and Markets Authority (ESMA) Further technical details for the reporting of Securities Financing Transactions (SFTs) as required under the SFT Regulation (SFTR) | SFTR (Securities Financing Transactions Regulation) | 2019 | Required | Approved | Link |
| China | General administration of customs notice no. 56 of 2017 | 2018 | Requested | Approved | Link | |
| China | Interbank Market Metadata (JR/T 0065-2019) and Interbank Market Information Exchange Protocol (JR/T 0066.1-2019) | 2019 | Requested | Approved | Link | |
| China | Statistics System of External Financial Asset/Liability and Trading | 2019 | Requested | Approved | Link | |
| Saudi Arabia | Circular of the Saudi Arabian Monetary Authority of 3 July 2018 \”The importance of obtaining an LEI through any accredited LOUs\” | 2018 | Approved | Link | ||
| Global | Financial Stability Oversight Council (FSOC) Treasury Annual Report 2018-2019 | 2019 | Recommended at national/regional level | Approved | Link | |
| US | Securities and Exchange Commission (SEC) Amended Form G-32 | Electronic Municipal Market Access (EMMA®) | 2020 | Requested | Approved | Link |
| China | Guideline on Operation of Securities Accounts | Guideline on Operation of Securities Accounts | 2018 | Requested | Approved | Link |
| China | Notice on Reporting of Legal Entity Identifiers by Bond Issuers | Notice on Reporting of Legal Entity Identifiers by Bond Issuers | 2019 | Requested | Approved | Link |
| EU | Guideline (EU) 2020/497 of the European Central Bank of 20 March 2020 on the recording of certain data by national competent authorities in the Register of Institutions and Affiliates Data (ECB/2020/16) | prudential supervision of credit institutions | 2020 | Required | Approved | Link |
| Global | Enhancing Cross-border PaymentsStage 1 report to the G20 | 2020 | Recommended at national/regional level | Approved | Link | |
| China | Order No. 5[2019] of the People’s Bank of China, the National Development and Reform Commission, the Ministry of Finance and the China Securities Regulatory Commission | Interim Measures for the Administration of Credit Rating Industry | 2019 | Required | Approved | Link |
| China | People’s Bank of China and the State Administration of Foreign Exchange Rules of Administration of Qualified Foreign Institutional Investors Engaging in Securities and Futures Investment | 2020 | Required | Approved | Link | |
| India | Insurance Regulatory and Development Authority of India, Circular IRDAI/F&A/CIR/MISC/134/06/2020 Legal Entity Identifier (LEI) code | Insurance Act 1938 | 2020 | Required | Approved | Link |
| US | Commodity Futures Trading Commission (CFTC) 17 CFR Parts 45, 46 and 49 | CEA (Commodity Exchange Act) | 2020 | Required | Approved | Link |
| India | Reserve Bank of India/2020-21/82 Introduction of Legal Entity Identifier for Large Value Transactions in Centralised Payment Systems | Payment and Settlement Systems Act | 2021 | Required | Approved | Link |
| EU | Commission Implementing Regulation (EU) 2021/453 of 15 March 2021 laying down implementing technical standards for the application of Regulation (EU) No 575/2013 of the European Parliament and of the Council with regard to the specific reporting requirements for market risk | CRR (Capital Requirements Regulation) | 2021 | Required | Approved | Link |
| EU | Commission implementing Regulation (EU) …/… laying down rules for the application of Directive (EU) 2017/1132 of the European Parliament and of the Council as regards technical specifications and procedures for the system of interconnection of registers and repealing Commission Implementing Regulation (EU) 2020/2244 | Company Law Directive | 2021 | Required | Proposed | Link |
| EU | Commission Implementing Regulation (EU) 2021/637 of 15 March 2021 laying down implementing technical standards with regard to public disclosures by institutions of the information referred to in Titles II and III of Part Eight of Regulation (EU) No 575/2013 of the European Parliament and of the Council and repealing Commission Implementing Regulation (EU) No 1423/2013, Commission Delegated Regulation (EU) 2015/1555, Commission Implementing Regulation (EU) 2016/200 and Commission Delegated Regulation (EU) 2017/2295 | Basel III | 2021 | Required | Approved | Link |
| EU | Commission Delegated Regulation (EU) 2020/1224 of 16 October 2019 supplementing Regulation (EU) 2017/2402 of the European Parliament and of the Council with regard to regulatory technical standards specifying the information and the details of a securitisation to be made available by the originator, sponsor and SSPE | Securisation Regulation | 2021 | Required | Approved | Link |
| EU | Commission Implementing Regulation (EU) 2020/1225 of 29 October 2019 laying down implementing technical standards with regard to the format and standardised templates for making available the information and details of a securitisation by the originator, sponsor and SSPE | Securisation Regulation | 2021 | Required | Approved | Link |
| EU | Proposal for a Regulation of the European Parliament and the Council on the prevention of the use of the financial system for the purposes of money laundering or terrorist financing | AML/CFT | 2024 | Required | Proposed | Link |
| EU | Proposal for a Regulation of the European Parliament and the Council on information accompanying transfers of funds and certain crypto-assets | AML/CFT | 2024 | Required | Proposed | Link |
| EU | European Systemic Risk Board (ESRB) Occasional Paper Series No 18 / September 2021 The benefits of the Legal Entity Identifier for monitoring systemic risk | 2021 | Recommended at national/regional level | Approved | Link | |
| EU | Commission Delegated Regulation (EU) 2021/1456 of 2 June 2021 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council by specifying the conditions under which the commercial terms for clearing services for OTC derivatives are to be considered to be fair, reasonable, non-discriminatory and transparent | EMIR | 2022 | Requested | Approved | Link |
| EU | Proposal for a Regulation of the European Parliament and the Council on European green bonds COM/2021/391 final | European Green Bonds | 2023 | Requested | Proposed | Link |
| US | 17 CFR Parts 15, 17, 18 and 20 (The final rules on Ownership and Control Reports and Forms 102/102S, 40/40S, and 71) | Dodd-Frank Wall Street Reform and Consumer Protection Act | 2016 | Requested | Approved | Link |
| US | FFIEC Form 101 – Quarterly Regulatory Capital Reporting for Institutions Subject to the Advanced Capital Adequacy Framework | 2016 | Requested | Approved | Link | |
| US | FFIEC Form 102 – Market Risk Regulatory Report for Institutions Subject to the Market Risk Capital Rule | 2016 | Requested | Approved | Link | |
| US | FFIEC Form 009/009A – Country Exposure Report/Country Exposure Information Report | 2016 | Requested | Approved | Link |
Reproduced from the GLEIF page Regulatory Use of the LEI
