Reg-Track Calendar

June 2017

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Monday	Tuesday	Wednesday	Thursday	Friday
Jun 26^th CFTC Surveillance-Delegation On Jun. 20, CFTC issued rules to delegate surveillance oversight. HK Treasury Insurance Authority On Apr. 24, HK Treasury gazetted new insurance regulatory structure.	Jun 27^th	Jun 28^th	Jun 29^th	Jun 30^th ASIC Stronger Super Regime On May 4, ASIC issued update on implementation of stronger super regime. BMA Insurance Manager Notice On Feb. 6, BMA issued annual insurance managers return and notice. JFSA Debt Underwriting Relief On Nov. 1, JFSA proposed excluding transactions from trading of debt. NFA CPO, CTA Financial Ratios On Sep. 6, NFA proposed rule on CPO and CTA quarterly reporting forms. OCC Recovery Plan Guidelines On Dec. 17, OCC proposed enforceable guideline on recovery planning. OSFI Operational Risk Guide On Jun. 29, OSFI released guideline on operational risk management practice.
Jul 03^rd AFM MiFID Report System On Jul. 6, AFM, NorFSA, Den FSA, SFI, FinFSA announced MIFID reporting. APRA Conglomerate Capital On Aug. 8, APRA issued rules on non-capital framework for conglomerates. APRA Superannuation Governance On Nov. 3, APRA issued rules on governance for superannuation funds. Bank of Malaysia Car Insurance On Apr. 21, Bank of Malaysia updated car insurance liberalization. CNMV MAR Liquidity Contracts On May 3, CNMV issued guide on liquidity contracts used for MAR. DenFSA Commission Payments On Jun. 13, DenFSA issued rules on paid third-party commission. ESA Qualifying Holdings Review On Dec. 20, ESA issued guidelines on assessment of qualifying holdings. EU Investment Firm Capital On Jun. 13, EC requested EBA advice on capital for investment firms. EU MiFID, MIFIR 1-Year-Delay On Apr. 28, EU Council adopted a one-year extension to MiFID II and MIFIR. FINFSA CCB, Mortgage LTV On Sep. 27, FINFSA issued decisions on CCB buffer and mortgage LTV. HK E-Filing Large Disclosures On May 5, SFC, HKMA issued forms for disclosure of larger holdings. NYDFS Insurer Coverage Denials On Dec. 21, NYDFS prohibited insurers denying coverage to ex-incarcerated. NYDFS Money Transmitter NMLS On May, 12, NYDFS announced move to state based NMLS platform. SAMA Insurance Employees On Feb. 8, SAMA issued rules on insurance companies staff members.	Jul 04^th	Jul 05^th FHFA Credit Union Membership On Sep. 28, FHFA proposed membership for non-insured credit unions.	Jul 06^th	Jul 07^th HK Resolution Power Limits On Nov. 22, HKMA and SFC consulted on limit to resolution power. UK PRA Regulatory Reporting On Dec. 12, PRA issued rules on regulatory reporting for bank sector.
Jul 10^th FINRA Treasury TRACE Reports On Jul. 18, FINRA proposed rules to report US Treasuries to TRACE.	Jul 11^th	Jul 12^th CNMV, FCA Short Selling Ban On Jun. 12, CNMV, UK FCA issued ban on short sales of Liberbank.	Jul 13^th	Jul 14^th UK PRA Insurance Stress Tests On Apr. 25, PRA issued feedback on general insurance stress testing.
Jul 17^th ESMA FIRDS MiFIR Reporting On Oct. 27, ESMA issued MiFIR reporting instructions and XML format.	Jul 18^th	Jul 19^th	Jul 20^th CFTC FOIA Requests Revisions On Jun. 20, CFTC proposed changes to FOIA process under law.	Jul 21^st

Jun 26^th

CFTC Surveillance-Delegation

On Jun. 20, CFTC issued rules to delegate surveillance oversight.
HK Treasury Insurance Authority

On Apr. 24, HK Treasury gazetted new insurance regulatory structure.

Jun 27^th

Jun 28^th

Jun 29^th

Jun 30^th

ASIC Stronger Super Regime

On May 4, ASIC issued update on implementation of stronger super regime.
BMA Insurance Manager Notice

On Feb. 6, BMA issued annual insurance managers return and notice.
JFSA Debt Underwriting Relief

On Nov. 1, JFSA proposed excluding transactions from trading of debt.
NFA CPO, CTA Financial Ratios

On Sep. 6, NFA proposed rule on CPO and CTA quarterly reporting forms.
OCC Recovery Plan Guidelines

On Dec. 17, OCC proposed enforceable guideline on recovery planning.
OSFI Operational Risk Guide

On Jun. 29, OSFI released guideline on operational risk management practice.

Jul 03^rd

AFM MiFID Report System

On Jul. 6, AFM, NorFSA, Den FSA, SFI, FinFSA announced MIFID reporting.
APRA Conglomerate Capital

On Aug. 8, APRA issued rules on non-capital framework for conglomerates.
APRA Superannuation Governance

On Nov. 3, APRA issued rules on governance for superannuation funds.
Bank of Malaysia Car Insurance

On Apr. 21, Bank of Malaysia updated car insurance liberalization.
CNMV MAR Liquidity Contracts

On May 3, CNMV issued guide on liquidity contracts used for MAR.
DenFSA Commission Payments

On Jun. 13, DenFSA issued rules on paid third-party commission.
ESA Qualifying Holdings Review

On Dec. 20, ESA issued guidelines on assessment of qualifying holdings.
EU Investment Firm Capital

On Jun. 13, EC requested EBA advice on capital for investment firms.
EU MiFID, MIFIR 1-Year-Delay

On Apr. 28, EU Council adopted a one-year extension to MiFID II and MIFIR.
FINFSA CCB, Mortgage LTV

On Sep. 27, FINFSA issued decisions on CCB buffer and mortgage LTV.
HK E-Filing Large Disclosures

On May 5, SFC, HKMA issued forms for disclosure of larger holdings.
NYDFS Insurer Coverage Denials

On Dec. 21, NYDFS prohibited insurers denying coverage to ex-incarcerated.
NYDFS Money Transmitter NMLS

On May, 12, NYDFS announced move to state based NMLS platform.
SAMA Insurance Employees

On Feb. 8, SAMA issued rules on insurance companies staff members.

Jul 04^th

Jul 05^th

FHFA Credit Union Membership

On Sep. 28, FHFA proposed membership for non-insured credit unions.

Jul 06^th

Jul 07^th

HK Resolution Power Limits

On Nov. 22, HKMA and SFC consulted on limit to resolution power.
UK PRA Regulatory Reporting

On Dec. 12, PRA issued rules on regulatory reporting for bank sector.

Jul 10^th

FINRA Treasury TRACE Reports

On Jul. 18, FINRA proposed rules to report US Treasuries to TRACE.

Jul 11^th

Jul 12^th

CNMV, FCA Short Selling Ban

On Jun. 12, CNMV, UK FCA issued ban on short sales of Liberbank.

Jul 13^th

Jul 14^th

UK PRA Insurance Stress Tests

On Apr. 25, PRA issued feedback on general insurance stress testing.

Jul 17^th

ESMA FIRDS MiFIR Reporting

On Oct. 27, ESMA issued MiFIR reporting instructions and XML format.

Jul 18^th

Jul 19^th

Jul 20^th

CFTC FOIA Requests Revisions

On Jun. 20, CFTC proposed changes to FOIA process under law.

Jul 21^st

The effective dates in the calendar are taken from individual rules in the Reg-Track system.

For 'final rules', and 'guidance' the effective date reflects the date that compliance is required.
For 'proposed rules', the effective date is when the comment period ends.

Reg-Calendar

Jun 26th

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