Regulatory Use of Legal Entity Identifiers

Finance & Banking Industry

LEI Resources

LEI Financial Regulation Summary

Financial regulatory use of Legal Entity Identifiers (LEIs) is driven by the authorities in local jurisdictions. RapidLEI provides the summary information of current legislation where LEIs are required (or proposed as a requirement).

Reproduced from the GLEIF page Regulatory Use of the LEI

JurisdictionRuleMaster/Base RegulationEffective DateLEI Required vs. RequestedApproved Vs. Proposed
ArgentinaCentral Bank of Argentina Announcements A 5642 and B 110292015RequiredApprovedLink
AustraliaAustralian Securities and Investments Commission (ASIC) OTC Derivative Transaction Rules (Reporting) 2013Corporations Act2013RequestedApprovedLink
AustraliaGuidance on Australian Securities and Investments Commission (ASIC) Market Integrity Rules for Competition in Exchange Markets (Australia)Corporations Act2014RequestedApprovedLink
AustraliaAustralian Securities and Investments Commission (ASIC) Derivative Transaction Rules (Clearing) 2015Corporations Act2015RequestedApprovedLink
CanadaOntario Securities Commission (OSC); Manitoba Securities Commission (MSC); Autorité des marchés financiers (AMF) [Quebec]; Alberta Securities Commission (ASC); British Columbia Securities Commission (BSCS); Nova Scotia Securities CommissionDerivatives Act2014RequiredApprovedLink
CanadaInvestment Industry Regulatory Organization of Canada (IIROC) Canada Debt Securities Transaction ReportingDerivatives Act2015RequestedApprovedLink
CanadaAlberta Securities Commission (ASC); 96-101 – Trade Repositories and Derivatives Data Reporting [MI]Derivatives Act2016RequiredApprovedLink
CanadaCSA Notice of Amendments to National Instrument 45-106 Prospectus Exemptions relating to Reports of Exempt Distribution2016RequestedApprovedLink
EUEuropean Banking Authority (EBA) Regulation (EU) No 575/2013 Capital Requirements Regulation (CRR)CRR (Capital Requirements Regulation)2014RequestedApprovedLink
EUEuropean Insurance and Occupational Pensions Authority (EIOPA) BoS-14-026 Guidelines on the use of LEI2015RequiredApprovedLink
EUEuropean Security and Markets Authority (ESMA) Market Trading Data ReportsEMIR2014RequiredApprovedLink
EURegulation (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)EMIR2014RequiredApprovedLink
EUCommission 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 repositoriesEMIR2014RequiredApprovedLink
EUCommission 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 repositoriesEMIR2013RequiredApprovedLink
EUEuropean Security and Markets Authority (ESMA) Questions and Answers Implementation of the Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories (EMIR) EMIR2005RequiredApprovedLink
EUEuropean 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)AIFMD2014RequestedApprovedLink
EUCommission 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 relevanceCRA I (Credit Rating Agencies)2016RequiredApprovedLink
EUCommission 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 relevanceCRA I (Credit Rating Agencies)2016RequiredApprovedLink
EUCommission 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 relevanceCRA I (Credit Rating Agencies)2017RequiredApprovedLink
EUEuropean Banking Authority (EBA) Recommendation On the use of the Legal Entity Identifier (LEI)2014RequiredApprovedLink
EUCommission 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 transactionsFICOD (Supervision of Financial Conglomerates)2015RequestedApprovedLink
EUEuropean Banking Authority (EBA)XBRL Filing Rules2014RequiredApprovedLink
EUDirective 2009/138/EC of the European Parliament and of the Council of 25 November 2009 on the taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II)Solvency II2016RequiredApprovedLink
EURegulation (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 648/2012SFTR (Securities Financing Transactions Regulation)2017RequiredApprovedLink
EUCommission 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 CouncilSolvency II2016RequiredApprovedLink
EUCommission 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 transparencyREMIT2015RequestedApprovedLink
EUCommission 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 CouncilMAR (Market Abuse)2016RequiredApprovedLink
EUCommission 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 CouncilMAR (Market Abuse)2016RequiredApprovedLink
EUCommission 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 clientsMiFID II/MiFIR2016RequiredApprovedLink
EUCommission 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 authoritiesMiFID II/MiFIR2016RequiredApprovedLink
EUCommission 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 imposedBRRD (Bank Recovery and Resolution)2016RequestedApprovedLink
EUEuropean Security and Markets Authority (ESMA) Guidelines on transaction reporting, order record keeping and clock synchronisation under MiFID IIMiFID II/MiFIR2016RequiredApprovedLink
Hong KongHong Kong Monetary Authority (HKMA)OTC Trade Repository2013RequestedApprovedLink
IsraelBank of Israel Order (Information Regarding Transactions in Foreign Currency Derivatives, Index Derivatives, and Interest Rate Derivatives), 5776–20162017RequiredApprovedLink
MexicoCentral Bank of Mexico Circular 14/2015RequiredApprovedLink
RussiaCentral Bank of Russia OTC Derivative transaction reporting, counterparty identification2015RequiredApprovedLink
RussiaCentral 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)2014RequiredApprovedLink
SingaporeMonetary Authority of Singapore (MAS) OTC Derivatives Trade Reporting – Securities and Futures2014RequiredApprovedLink
UKBank of England Prudential Regulation Authority (PRA) Recommendation to Obtain Legal Entity Identifier2014RequiredApprovedLink
USCommodity Futures Trading Commission (CFTC) 17 CFR Parts 3, 32, and 33 Commodity OptionsCEA (Commodity Exchange Act)2014RequestedApprovedLink
USCommodity Futures Trading Commission (CFTC) Form TOCEA (Commodity Exchange Act)2014RequestedApprovedLink
USCommodity Futures Trading Commission (CFTC) Form 102 Identification of “Special Accounts” for futures commissions merchants, clearing members and advisorsCEA (Commodity Exchange Act)2014RequiredApprovedLink
USCommodity Futures Trading Commission (CFTC) Ownership and Control Reports, Forms 102/102S, 40/40S, and 71; Final RuleCEA (Commodity Exchange Act)2015RequestedApprovedLink
USSecurities and Exchange Commission (SEC) 17 CFR Parts 275 and 279 Rules Implementing Amendments to the Investment Advisers Act of 1940Investment Advisers Act2012RequestedApprovedLink
USSecurities and Exchange Commission (SEC) Form ADV uniform application for investment adviser registration and report by exempt reporting advisersInvestment Advisers Act2015RequestedApprovedLink
USCommodity 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 RuleInvestment Advisers Act2013RequestedApprovedLink
USSecurities and Exchange Commission (SEC) Form PF Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading AdvisorsInvestment Advisers Act2013RequestedApprovedLink
USCommodity Futures Trading Commission (CFTC) Swap Data Record Keeping and Reporting Rule (Parts 45 46)CEA (Commodity Exchange Act)2012RequiredApprovedLink
USFederal Reserve Announcement of Board Approval Under Delegated Authority and Submission to OMB2015RequestedApprovedLink
USFederal Reserve Annual Report of Holding Companies – FR Y-62014RequestedApprovedLink
USFederal Reserve Annual Report of Foreign Banking Organizations – FR Y-72014RequiredApprovedLink
USFederal Reserve Annual Report of Changes in Organizational Structure – FR Y-102012RequiredApprovedLink
USMunicipal Securities Rulemaking Board (MSRB) Registration Form A-122014RequiredApprovedLink
USNational Association of Insurance Commissioners (NAIC) 2013 NAIC Annual Statement and 2014 Quarterly Statement Filing Guidance for the Legal Entity Identifier (LEI) Electronic Only Column in the Investment Schedules2013RequestedApprovedLink
USSecurities and Exchange Commission (SEC) 17 CFR Part 242 Consolidated Audit Trail; Final Rule2012OptionalApprovedLink
USSecurities and Exchange Commission (SEC) Nationally Recognized Statistical Rating Organization (NRSRO)2014RequestedApprovedLink
USSecurities and Exchange Commission (SEC) FORM N-MFP Monthly Schedule Of Portfolio Holdings Of Money Market Funds2014RequestedApprovedLink
USSecurities and Exchange Commission (SEC) Money Market Fund Reform Amendments to Form N-MFPInvestment Company Act2015RequestedApprovedLink
USSecurities and Exchange Commission (SEC) Regulation SBSR – Reporting and Disclosure Dissemination of Security-Based Swap InformationSecurities Exchange Act2015RequiredApprovedLink
USDepartment 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; RuleSecurities Exchange Act2016RequestedApprovedLink
USSecurities 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 ModernizationInvestment Company Act2016RequiredApprovedLink
USDepartment of the Treasury 31 CFR Part 148 RIN 1505–AC46 Qualified Financial Contracts Recordkeeping Related to Orderly Liquidation AuthorityDodd-Frank Act2016RequiredApprovedLink
CanadaAutorité des marchés financiers (AMF) Québec Regulation 91-507 respecting trade repositories and derivatives data reportingDerivatives Act2016RequestedApprovedLink
CanadaOntario Securities Commission Rule 91-507 Trade Repositories and Derivatives Data ReportingDerivatives Act2016RequestedApprovedLink
CanadaCSA 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 PoliciesDerivatives Act2016RequestedApprovedLink
EUEuropean 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 authoritiesMiFID II/MiFIR2018RequestedApprovedLink
EUEuropean Security and Markets Authority (ESMA) MiFID II/MiFIR – Regulatory technical and implementing standards–Annex IMiFID II/MiFIR2017RequiredApprovedLink
EUEuropean Security and Markets Authority (ESMA) Consultation Paper–Annex B Regulatory technical standards on MiFID II/ MiFIRMiFID II/MiFIR2017RequiredApprovedLink
EUEuropean Security and Markets Authority (ESMA) Final Report Draft implementing technical standards under MiFID IIMiFID II/MiFIR2016RequiredApprovedLink
EUEuropean Security and Markets Authority (ESMA) Final Report Draft technical standards on the Market Abuse RegulationMAR (Market Abuse)2016RequiredApprovedLink
EUEuropean Security and Markets Authority (ESMA) Final Report Draft Regulatory Technical Standards on European Electronic Access Point (EEAP)2017RequiredApprovedLink
EUESMA Final Report Draft Regulatory Technical Standards for CRA 3CRA III (Credit Rating Agencies)2017RequiredApprovedLink
EUEuropean 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)2018RequiredProposedLink
EUEuropean Banking Authority (EBA) new DPM and XBRL taxonomy 2.5 for remittance of supervisory reporting2017RequestedApprovedLink
SwitzerlandFederal Council Partial Revision of the Federal Law (UID) and Regulation (UID) on the Company’s Identification Number2016RequestedProposedLink
USHome Mortgage Disclosure (Regulation C)HMDA (Home Mortgage Disclosure Act)2018RequiredApprovedLink
USCommodities Futures Trading Commission (CFTC) 17 CFR Part 45 Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared SwapsCEA (Commodity Exchange Act)2017RequiredProposedLink
GlobalFinancial Stability Board (FSB) Standards and Processes for Global Securities Financing Data Collection and Aggregation2015Recommended at national/regional levelProposedLink
GlobalFinancial Stability Board (FSB) Report to the G20 on actions taken to assess and address the decline in correspondent banking2016Recommended at national/regional levelProposedLink
GlobalBasel Committee on Banking Supervision, Consultative Document, Guidelines, Revised Annex on correspondent bankingRecommended at national/regional levelProposedLink
EUCommission 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 CouncilCRR (Capital Requirements Regulation)2017RequiredApprovedLink
EUCommission 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)Transparency2017RequiredApprovedLink
EUEuropean Banking Authority (EBA) final draft on the framework for cooperation and exchange of information between competent authorities for passport notifications under Directive (EU) 2015/2366PSD II (Payment Services)2017RequestedApprovedLink
USCommodities Futures Trading Commission (CFTC) 17 CFR Part 49 RIN 3038-AE44 Proposed Amendments to the Swap Data Access Provisions of Part 49 and Certain Other MattersCEA (Commodity Exchange Act)2017Link
USSecurities and Exchange Commission (SEC) Proposed Rule Change Relating to Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule)Securities Exchange Act2018RequiredProposedLink
EUCommission 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 CouncilCSDR (Central Securities Repositories)2017RequiredApprovedLink
EUCommission 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 CouncilCSDR (Central Securities Repositories)2017RequiredApprovedLink
EUEuropean Security and Markets Authority (ESMA) Questions and Answers Implementation of the Regulation (EU) No 909/2014 on improving securities settlement in the EU and on central securities depositoriesCSDR (Central Securities Repositories)2017RequiredApprovedLink
EUEuropean Security and Markets Authority (ESMA) Final Report Technical standards under SFTR and certain amendments to EMIRSFTR (Securities Financing Transactions Regulation)2017RequiredApprovedLink
EUCommission 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 executionMiFID II/MiFIR2018RequiredApprovedLink
EUCommission 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 transactionsMiFID II/MiFIR2018RequiredApprovedLink
EUCommission 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 instrumentsMiFID II/MiFIR2018RequiredApprovedLink
EUCommission 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 tradingMiFID II/MiFIR2018RequiredApprovedLink
EUCommission 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 derivativesMiFID II/MiFIR2018RequiredApprovedLink
EUCommission 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 authoritiesMiFID II/MiFIR2018RequiredApprovedLink
EUProposal 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 repositoriesEMIRRequiredProposedLink
GlobalCommittee on Payments and Market Infrastructures, Board of the International Organization of Securities Commissions, Technical Guidance: Harmonisation of the Unique Transaction Identifier2017Recommended at national/regional levelProposedLink
EURegulation (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/ECProspectus Regulation2017RequiredApprovedLink
INDReserve 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 marketsRBI 1934 (Reserve Bank of India Act)2017RequiredApprovedLink
EUCommission 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 instrumentsMiFID II/MiFIR2017RequiredApprovedLink
EUCommission 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 operatorsMiFID II/MiFIR2018RequiredApprovedLink
EUCommission 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 CouncilCRR (Capital Requirements Regulation)2017RequiredApprovedLink
USUnited States of America Federal Energy Regulatory Commission (FERC) 18 CFR Part 35 Notice of Proposed Rulemaking Data Collection for Analytics and Surveillance and Market-Based Rate PurposesFederal Power Act (FPA)2017RequiredProposedLink
EUEuropean Security and Markets Authority (ESMA) Final Report Draft technical standards on data to be made publicly available by TRs under Article 81 of EMIREMIR2017RequiredProposedLink
EUEuropean Insurance and Occupational Pensions Authority (EIOPA) Final Report on Public Consultation No. 14-037 on the Proposal for Guidelines on the use of the Legal Entity Identifier (LEI)Solvency II2014ApprovedLink
EUCommission 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 depositoriesCSDR (Central Securities Repositories)2017RequiredApprovedLink
CanadaCSA Notice of National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions and Related Companion PolicyDerivatives Act2017RequiredApprovedLink
CanadaProvince of British Columbia Rule of the British Columbia Securities Commission Securities Act Multilateral Instrument 96-101 Trade Repositories and Derivatives Data ReportingDerivatives Act2016RequiredApprovedLink
Switzerland Swiss Financial Market Supervisory Authority FINMA Circular 2018/2 Duty to report securities transactionFinancial Market Infrastructure Act (FMIA)2017RequiredApprovedLink
EU Commission Implementing Regulation (EU) 2017/1486 of 10 July 2017 amending Implementing Regulation (EU) 2016/2070 as regards benchmarking portfolios and reporting instructionsCRR (Capital Requirements Regulation)2017RequiredApprovedLink
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 Report2017Recommended at national/regional levelProposedLink
Global Governance arrangements for the unique transaction identifier (UTI) Conclusions and implementation plan2018Recommended at national/regional levelProposedLink
Malaysia Financial Markets Committee (FMC) and Bank Negara Malaysia (Central Bank of Malaysia) Real-time Electronic Transfer of Funds and Securities System (RENTAS)RENTAS2018RequiredApprovedLink
EU European Security and Markets Authority (ESMA) Questions and Answers On MiFID II and MiFIR commodity derivatives topicsMiFID II/MiFIR2017RequestedApprovedLink
EUCommission 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 institutionsPSD II (Payment Services)2017RequestedApprovedLink
EUEuropean Security and Markets Authority (ESMA) Questions and Answers on MiFIR data reportingMiFID II/MiFIR2017RequestedApprovedLink
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 Credit2017RequestedApprovedLink
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 Credit2017RequestedApprovedLink
Brasil Federal Revenue of Brazil (RFB) Instrução Normativa RFB nº 1634 (RFB Normative Instruction No. 1,634)Corporate Taxpayers Registry2017RequestedApprovedLink
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 Council2014RequestedApprovedLink
JPN Financial Instruments and Exchange ActFinancial Instruments and Exchange Act2015RequestedApprovedLink
JPN Cabinet Office Ordinance No.48 of July 11, 2012 on the Regulation of Over-the-Counter Derivatives TransactionsFinancial Instruments and Exchange Act2015RequestedApprovedLink
South Africa Proposed Central Reporting Requirements for Over the Counter Derivatives Trade Reporting Obligations Board Notice in terms of section 58 of the Financial Markets Act (Act 19 of 2012)Financial Markets Act2017RequiredApprovedLink
EUEuropean 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 abuseMAR (Market Abuse)2018RequiredProposedLink
MexicoCIRCULAR 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).2017RequiredApprovedLink
Hong KongHong 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 2018OTC derivatives regulatory regime2018RequiredApprovedLink
GlobalCommittee on Payments and Market Infrastructures Board of the International Organization of Securities CommissionsTechnical Guidance Harmonisation of critical OTC derivatives data elements (other than UTI and UPI)2018Recommended at national/regional levelProposedLink
USReporting 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 AssetsDodd-Frank Act2018RequestedApprovedLink
USSecurities and Exchange Commission (SEC) 17 CFR Parts 229, 230, 232, 239, 240, 249, 270, 274 and 275 [Release No. 33-10425; 34-81851; IA-4791; IC-32858; File No. S7-08-17] RIN 3235-AM02 FAST Act Modernization and Simplification of Regulation S-KFixing America’s Surface Transportation Act (“FAST Act”)2018RequestedProposedLink
INDStatement on Developmental and Regulatory Policies Reserve Bank of India, October 04, 20172018RequestedApprovedLink
CHNOrder 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 China2017RequestedApprovedLink
EUQuestions and Answers Implementation of the Regulation (EU) No 909/2014 on improving securities settlement in the EU and on central securities depositoriesCSDR (Central Securities Repositories)2018RequiredApprovedLink
EUCommission 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 CouncilUCITS2018RequiredApprovedLink
MalaysiaFinancial Markets Committee (FMC) and Bank Negara Malaysia (Central Bank of Malaysia) RENTAS Segregated Securities AccountRENTAS2018RequiredApprovedLink
INDDraft Directions on requirement of Legal Entity Identifier Code for participation in non-derivative marketsRBI 1934 (Reserve Bank of India Act)2018RequiredApprovedLink
Hong KongHong 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 2018OTC derivatives regulatory regime2019RequiredApprovedLink
EUEuropean Security and Markets Authority (ESMA) Consultation Paper – Draft technical advice on minimum information content for prospectus exemptionProspectus Regulation2019RequiredProposedLink
EUEuropean Security and Markets Authority (ESMA) Final Report Draft Regulatory Technical Standards on cooperation between competent authorities in home and host Member States in the supervision of payment institutions operating on a cross-border basis under Article 29(6) of PSD2Shareholder Rights Directive2018RequiredApprovedLink
EUCommission 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 rightsShareholder Rights Directive2018RequiredApprovedLink
EUCommission 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 disciplineCSDR (Central Securities Repositories)2020RequiredApprovedLink
TRobligations of the data storage organization, activity, membership, operation and audit principles within the framework of Article 87 of the Capital Market Law (Law No. 6362)Capital Markets Law2018RequiredApprovedLink
MexicoCentral Bank of Mexico Guía dirigida a los Intermediarios Financieros para el uso del Código LEI.2018RequiredApprovedLink
USFederal Deposit Insurance Corporation (FDIC) 12 CFR Part 371 RIN 3064–AE54 Recordkeeping Requirements for Qualified Financial Contracts12 CFR Part 371 – Recordkeeping Requirements for Qualified Financial Contracts (QFC)2017RequiredApprovedLink
USReporting Forms – FFIEC 03 and 041 Consolidated Reports of Condition and Income for a Bank with Domestic and Foreign OfficesFederal Financial Institutions Examination Council (FFIEC) Quarterly Consolidated Reports of Condition and Income2016RequiredApprovedLink
GlobalFinancial Stability Board (FSB) Second Phase of the G20 Data Gaps Initiative (DGI-2)2018Recommended at national/regional levelProposedLink
EUEuropean Security and Markets Authority (ESMA) Questions and Answers Application of the AIFMDAIFMD2018RequiredApprovedLink
INDReserve Bank of India Notification No.FMRD.FMID.08/2018 dated October 05, 2018 The Electronic Trading Platforms (Reserve Bank) Directions, 2018RBI 1934 (Reserve Bank of India Act)2018RequiredApprovedLink
INDSecurities 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 SegmentSecurities and Exchange Board of India Act 19922018RequiredApprovedLink
EUCommission 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 Regulation2019RequiredApprovedLink
EUCommission 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) 2016/1066BRRD (Bank Recovery and Resolution)2018RequestedApprovedLink
GlobalIrving Fisher Committee (IFC) and Bank for International Settlements (BIS) Report Central banks and trade repositories derivatives data2018Recommended at national/regional levelProposedLink
EUEuropean Security and Markets Authority (ESMA) Final Report Securitisation Regulation technical standards on securitisation repository application requirements, operational standards, and access conditionsSecuritisation Regulation2019RequiredProposedLink
EUCommission Implementing Regulation (EU) 2018/1844 of 23 November 2018 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 CouncilSolvency II2019RequiredApprovedLink
EUQuestions and AnswersOn MiFID II and MiFIR commodity derivativestopicsMiFID II/MiFIR2019RequiredApprovedLink
AustraliaASIC Corporations (Derivative Transaction Reporting Exemption) Instrument 2015/844Corporations Act2019RequiredApprovedLink
EUCOMMISSION 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 contractsSFTR (Securities Financing Transactions Regulation)2019RequiredLink