Jurisdiction | Rule | Master/Base Regulation | Effective Date | Required vs. Requested | Status | 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 | 2014 | Requested | Approved | Link |
Australia | Australian Securities and Investments Commission (ASIC) Derivative Transaction Rules (Clearing) 2015 | Corporations Act | 2015 | Requested | Approved | Link |
Canada | Ontario Securities Commission (OSC); Manitoba Securities Commission (MSC); Autorité des marchés financiers (AMF) [Quebec]; Alberta Securities Commission (ASC); Nova Scotia Securities Commission | Derivatives Act | 2014 | Required | 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 Banking Authority (EBA) Regulation (EU) No 575/2013 Capital Requirements Regulation (CRR) | CRR (Capital Requirements Regulation) | 2014 | Requested | Approved | Link |
EU | European Insurance and Occupational Pensions Authority (EIOPA) BoS-14-026 Guidelines on the use of LEI | | 2015 | Required | Approved | Link |
EU | European Security and Markets Authority (ESMA) Market Trading Data Reports | EMIR | 2014 | 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) Questions and Answers Implementation of the Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories (EMIR) | EMIR | 2005 | 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 | | 2014 | Required | Approved | Link |
EU | Directive 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 II | 2016 | 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 | Hong Kong Monetary Authority (HKMA) | 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 OTC Derivative transaction reporting, counterparty identification | | 2015 | Required | Approved | |
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 |
UK | Bank of England Prudential Regulation Authority (PRA) Recommendation to Obtain Legal Entity Identifier | | 2014 | Required | Approved | Link |
US | Commodity Futures Trading Commission (CFTC) 17 CFR Parts 3, 32, and 33 Commodity Options | CEA (Commodity Exchange Act) | 2014 | Requested | Approved | Link |
US | Commodity Futures Trading Commission (CFTC) Form TO | CEA (Commodity Exchange Act) | 2014 | Requested | Approved | Link |
US | Commodity Futures Trading Commission (CFTC) Form 102 Identification of “Special Accounts” for futures commissions merchants, clearing members and advisors | CEA (Commodity Exchange Act) | 2014 | 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 |
US | Federal Reserve Announcement of Board Approval Under Delegated Authority and Submission to OMB | | 2015 | Requested | Approved | Link |
US | Federal Reserve Annual Report of Holding Companies – FR Y-6 | | 2014 | Requested | Approved | Link |
US | Federal Reserve Annual Report of Foreign Banking Organizations – FR Y-7 | | 2014 | Required | Approved | Link |
US | Federal Reserve Annual Report of Changes in Organizational Structure – FR Y-10 | | 2012 | Required | Approved | Link |
US | Municipal Securities Rulemaking Board (MSRB) Registration Form A-12 | | 2014 | Required | Approved | Link |
US | National 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 Schedules | | 2013 | Requested | 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 (SEC) Nationally Recognized Statistical Rating Organization (NRSRO) | | 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 (SEC) Money Market Fund Reform Amendments to Form N-MFP | Investment Company Act | 2015 | Requested | Approved | Link |
US | Securities and Exchange Commission (SEC) Regulation SBSR – Reporting and Disclosure 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 | Ontario Securities Commission 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) Consultation Paper–Annex B Regulatory technical standards on MiFID II/ MiFIR | 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 |
EU | European Banking Authority (EBA) new DPM and XBRL taxonomy 2.5 for remittance of supervisory reporting | | 2017 | Requested | Approved | Link |
Switzerland | Federal Council Partial Revision of the Federal Law (UID) and Regulation (UID) on the Company’s Identification Number | | 2016 | Requested | 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 45 Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps | CEA (Commodity Exchange Act) | 2017 | Required | Proposed | 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 |
Global | Basel Committee on Banking Supervision, Consultative Document, Guidelines, Revised Annex on correspondent banking | | | 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 | European Banking Authority (EBA) final draft on the framework for cooperation and exchange of information between competent authorities for passport notifications under Directive (EU) 2015/2366 | PSD II (Payment Services) | 2017 | Requested | Approved | Link |
US | Commodities 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 Matters | CEA (Commodity Exchange Act) | 2017 | Required | Proposed | Link |
US | Securities and Exchange Commission (SEC) Proposed Rule Change Relating to Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) | Securities Exchange Act | 2018 | Required | Proposed | 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) Questions and Answers Implementation of the Regulation (EU) No 909/2014 on improving securities settlement in the EU and on central securities depositories | CSDR (Central Securities Repositories) | 2020 | 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 |
IND | 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 | United 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 Purposes | Federal Power Act (FPA) | 2017 | Required | Proposed | 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 | European 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 II | 2014 | | Approved | 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 |
EU | Commission Implementing Regulation (EU) 2017/1486 of 10 July 2017 amending Implementing Regulation (EU) 2016/2070 as regards benchmarking portfolios and reporting instructions | CRR (Capital Requirements Regulation) | 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 | European Security and Markets Authority (ESMA) Questions and Answers On MiFID II and MiFIR commodity derivatives topics | MiFID II/MiFIR | 2017 | Requested | 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 |
Brasil | Federal Revenue of Brazil (RFB) Instrução Normativa RFB nº 1634 (RFB Normative Instruction No. 1,634) | Corporate Taxpayers Registry | 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 |
JPN | Financial Instruments and Exchange Act | Financial Instruments and Exchange Act | 2015 | Requested | Approved | |
JPN | 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 | |
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 CommissionsTechnical 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 |
US | Securities 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-K | Fixing America’s Surface Transportation Act (“FAST Act”) | 2018 | Requested | Proposed | Link |
IND | Statement on Developmental and Regulatory Policies Reserve Bank of India, October 04, 2017 | | 2018 | Requested | Approved | Link |
CHN | 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 | Questions and Answers Implementation of the Regulation (EU) No 909/2014 on improving securities settlement in the EU and on central securities depositories | CSDR (Central Securities Repositories) | 2018 | Required | 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 |
IND | Draft Directions on requirement of 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 | European 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 PSD2 | PSD II (Payment Services) | 2018 | 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 |
TR | 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 | |
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 |
EU | European Security and Markets Authority (ESMA) Questions and Answers Application of the AIFMD | AIFMD | 2019 | Required | Approved | Link |
IND | 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 |
IND | 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 |
EU | Questions and AnswersOn MiFID II and MiFIR commodity derivativestopics | MiFID II/MiFIR | 2019 | Required | Approved | Link |
Australia | ASIC Corporations (Derivative Transaction Reporting Exemption) Instrument 2015/844 | Corporations Act | 2019 | 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 |
Russia | Central Bank of Russia, announcement 5010-Y of 14 December 2018 | | 2019 | Required | Approved | |
EU | European Security and Markets Authority (ESMA) Questions and Answers on the Securitisation Regulation | Securitisation Regulation | 2019 | Required | Approved | 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 | European Security and Markets Authority (ESMA) Final Report Guidelines on the reporting to competent authorities under Article 37 of the MMF Regulation | MMF (Money Market Fund Regulation) | 2020 | Required | Approved | Link |
US | Federal Energy regulatory Commission (FERC) Docket No. RM16-17-000 18 CFR Part 35 Data Collection for Analytics and Surveillance and Market-Based Rate Purposes | | 2020 | Required | Approved | |
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 | ANNEXES to the Commission Delegated Regulation (EU) 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 | 2019 | 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 | Recommended at national/regional level | Approved | Link |
CHN | General administration of customs notice no. 56 of 2017 | | 2018 | Requested | Approved | |
CHN | Notice on Provision of Legal Entity Identifiers by Institutional Investors Registering to Enter Inter-Bank Bond Market | | 2019 | Requested | Approved | |
CHN | Interbank Market Metadata (JR/T 0065-2019) and Interbank Market Information Exchange Protocol (JR/T 0066.1-2019) | | 2019 | Requested | Approved | Link |
CHN | Statistics System of External Financial Asset/Liability and Trading | | 2019 | Requested | Approved | Link |
SAU | 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 |
CHN | Guideline on Operation of Securities Accounts | Guideline on Operation of Securities Accounts | 2018 | Requested | Approved | Link |
CHN | 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 |
CHN | 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 |