Reg-Track Calendar

May 2019

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Monday	Tuesday	Wednesday	Thursday	Friday
May 20 ^th N/A	May 21 ^st N/A	May 22 ^nd N/A	May 23 ^rd N/A	May 24 ^th POL GVT Regulated Market Board On May 10, POL GVT issued rules on management board criteria.
May 27 ^th POL GVT STS Securitization Rules On May 11, POL GVT issued rules adopting STS securitizations.	May 28 ^th EC Non-Personal Data Flows On Jun. 20, EU agreed rules on the flow of non-personal data. MLT CB €100-200 Banknotes On Feb. 22, MLT CB issued europa series €100 and €200 notes. UK PSR Push Pay Scams Code On Sep. 28, PSR welcomed consultation on the APP scam code.	May 29 ^th NYSE DMM Role Pillar Auction On Apr. 8, NYSE proposed rules on DMM as participant on Pillar.	May 30 ^th AUT FMA Binary Options, CFDs On May 16, AUT FMA issued notice product intervention rules.	May 31 ^st UX CAA Broker AML Questionnaire On Mar. 6, LUX CAA issued circular on qualitative AML questionnaire.
Jun 03 ^rd CIMA Liquidity Risk Management On Feb. 19, CIMA issued feedback to comment on liquidity rule. ECB Credit Material Threshold On Jul. 3, ECB proposed rules on materiality for late credit. ECB Philip Lane Appointment On Mar. 12, ECB opinion on board appointment of Philip Lane. IOM FSA AML/CFT Framework On Feb. 13, IOM FSA consulted on AML framework / SNPO code. Italy CB AML Control Procedures On Apr. 13, Banca D'Italia consulted on AML procedures and controls. JFSC Amends Code of Practice On Nov. 14, JFSC consulted on amendments to code of practice. JPN CB Securities Lending Facility On Apr. 25, JPN CB relaxed conditions for the securities lending facility. MSRB Cross-Reference to SROs On Apr. 10, MSRB proposed rules amend reference to other SROs. SEC Defer Fund Liquidity Class On Feb. 21, SEC extended date for fund liquidity classifications. SGX Trade At Close Functionality On Sep. 21, SGX proposed functionality for trading at close. UK Lloyds Electronic Placement On Dec. 20, UK Lloyds issued bulletin for (re)insurance brokers.	Jun 04 ^th	Jun 05 ^th ESMA CCP Conflict of Interest On Jun. 1, ESMA proposed guide for CCP conflicts of interest.	Jun 06 ^th	Jun 07 ^th
Jun 10 ^th EU Shareholder Rights Rules On Mar. 14, EP approved rules for shareholder rights in companies. QFMA Stock Split Enforcement On Apr. 7, QFMA announced the enforcement of stock split in June.	Jun 11 ^th	Jun 12 ^th CSA Custody Related Amendment On Oct. 25, CSA proposed registration requirement for custody.	Jun 13 ^th	Jun 14 ^th Fed Mortgage Licensing Act On May 9, Fed repealed rule for power for mortgage licensing. HK SFC Comparable OTC Areas On May 17, SFC issued circular, list comparable OTCD countries. HK SFC Conduct of Derivatives On Dec. 20, HK SFC issued consultation on derivatives conduct. UK FCA PSD2 Final RTS, Guide On Sep. 17, UK FCA proposed rules on PSD2 implementation.
Jun 17 ^th EC CCP Own Funds Exemption On Apr. 17, EC proposed rules extending CCP own fund exemption. ESP GVT Mortgage Credit Directive On Apr. 26, ESP GVT issued order, royal decree regarding MCD. ESP GVT Mortgage Credit Rules On Apr. 29, ESP GVT decree on EU mortgage credit directive. ESP GVT Order on MCD On Apr. 29, ESP GVT published order ECE/482/2019 on MCD. SEC Inline XBRL on Tagged Data On Jun. 28, SEC issued rules using inline XBRL on tagged data. SFI MREL Notification Changes On Feb. 19, SFI proposed supervisory regulations for MREL.	Jun 18 ^th	Jun 19 ^th ESRB Cross-Border Reciprocity On Feb. 13, EU CNCL advised cross-border macro reciprocity.	Jun 20 ^th EGY GIA New Bankruptcy Law On May 20, EGY GIA implemented recent bankruptcy law.	Jun 21 ^st

May 20 ^th

N/A

May 21 ^st

N/A

May 22 ^nd

N/A

May 23 ^rd

N/A

May 24 ^th

POL GVT Regulated Market Board

On May 10, POL GVT issued rules on management board criteria.

May 27 ^th

POL GVT STS Securitization Rules

On May 11, POL GVT issued rules adopting STS securitizations.

May 28 ^th

EC Non-Personal Data Flows

On Jun. 20, EU agreed rules on the flow of non-personal data.
MLT CB €100-200 Banknotes

On Feb. 22, MLT CB issued europa series €100 and €200 notes.
UK PSR Push Pay Scams Code

On Sep. 28, PSR welcomed consultation on the APP scam code.

May 29 ^th

NYSE DMM Role Pillar Auction

On Apr. 8, NYSE proposed rules on DMM as participant on Pillar.

May 30 ^th

AUT FMA Binary Options, CFDs

On May 16, AUT FMA issued notice product intervention rules.

May 31 ^st

UX CAA Broker AML Questionnaire

On Mar. 6, LUX CAA issued circular on qualitative AML questionnaire.

Jun 03 ^rd

CIMA Liquidity Risk Management

On Feb. 19, CIMA issued feedback to comment on liquidity rule.
ECB Credit Material Threshold

On Jul. 3, ECB proposed rules on materiality for late credit.
ECB Philip Lane Appointment

On Mar. 12, ECB opinion on board appointment of Philip Lane.
IOM FSA AML/CFT Framework

On Feb. 13, IOM FSA consulted on AML framework / SNPO code.
Italy CB AML Control Procedures

On Apr. 13, Banca D'Italia consulted on AML procedures and controls.
JFSC Amends Code of Practice

On Nov. 14, JFSC consulted on amendments to code of practice.
JPN CB Securities Lending Facility

On Apr. 25, JPN CB relaxed conditions for the securities lending facility.
MSRB Cross-Reference to SROs

On Apr. 10, MSRB proposed rules amend reference to other SROs.
SEC Defer Fund Liquidity Class

On Feb. 21, SEC extended date for fund liquidity classifications.
SGX Trade At Close Functionality

On Sep. 21, SGX proposed functionality for trading at close.
UK Lloyds Electronic Placement

On Dec. 20, UK Lloyds issued bulletin for (re)insurance brokers.

Jun 04 ^th

Jun 05 ^th

ESMA CCP Conflict of Interest

On Jun. 1, ESMA proposed guide for CCP conflicts of interest.

Jun 06 ^th

Jun 07 ^th

Jun 10 ^th

EU Shareholder Rights Rules

On Mar. 14, EP approved rules for shareholder rights in companies.
QFMA Stock Split Enforcement

On Apr. 7, QFMA announced the enforcement of stock split in June.

Jun 11 ^th

Jun 12 ^th

CSA Custody Related Amendment

On Oct. 25, CSA proposed registration requirement for custody.

Jun 13 ^th

Jun 14 ^th

Fed Mortgage Licensing Act

On May 9, Fed repealed rule for power for mortgage licensing.
HK SFC Comparable OTC Areas

On May 17, SFC issued circular, list comparable OTCD countries.
HK SFC Conduct of Derivatives

On Dec. 20, HK SFC issued consultation on derivatives conduct.
UK FCA PSD2 Final RTS, Guide

On Sep. 17, UK FCA proposed rules on PSD2 implementation.

Jun 17 ^th

EC CCP Own Funds Exemption

On Apr. 17, EC proposed rules extending CCP own fund exemption.
ESP GVT Mortgage Credit Directive

On Apr. 26, ESP GVT issued order, royal decree regarding MCD.
ESP GVT Mortgage Credit Rules

On Apr. 29, ESP GVT decree on EU mortgage credit directive.
ESP GVT Order on MCD

On Apr. 29, ESP GVT published order ECE/482/2019 on MCD.
SEC Inline XBRL on Tagged Data

On Jun. 28, SEC issued rules using inline XBRL on tagged data.
SFI MREL Notification Changes

On Feb. 19, SFI proposed supervisory regulations for MREL.

Jun 18 ^th

Jun 19 ^th

ESRB Cross-Border Reciprocity

On Feb. 13, EU CNCL advised cross-border macro reciprocity.

Jun 20 ^th

EGY GIA New Bankruptcy Law

On May 20, EGY GIA implemented recent bankruptcy law.

Jun 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.

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