Oct 02
nd
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ARG CB Forex Transactions Rules
On Sep. 22, ARG CB made adjustments to foreign exchange rules.
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ARG CNV Adolescent Fund Investment
On Sep. 22, ARG CNV published rules on investments by minors.
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AST Clean Varying Surrender Amounts
On Sep. 12, AST Clean reminded of a deadline re surrender amounts.
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ASX Options Strike Increment Proposal
On Jun. 1, ASX proposed changes with respect to electricity options.
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AZ INS Administrative Amendments
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BBg MTF Market Data, Rulebook
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BEL FSMA Remote Client Onboarding
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BRZ CVM Investment Fund Framework
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BRZ IPO Industrial Design Applications
On Aug. 15, BRZ IPO provided key dates for implementation stages.
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BVMF Clearing Procedures Manual
On Dec. 15, BVMF updated clearinghouse operations manual.
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BVMF Clearinghouse Access Indicator
On Jul. 13, BVMF changed calculation of ADF compliance indicator.
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CZC CB Remote Client Onboarding
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EBA Remote Customer Onboarding
On Dec. 10, EBA proposed guidelines on remote customer onboarding.
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ECC UK Delivery Risk Parameter
On Jul. 18, ECC issued method for UK delivery risk parameter.
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EUREX Clear ESG Transparency
On Mar. 10, EUREX Clear issued circular on ESG clearing compass.
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EUREX Money Market Index Derivatives
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FINFSA Remote Customer Onboarding
On Jul. 17, FINFSA confirmed compliance with EBA remote ID guide.
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FR ACPR EBA Remote Onboarding
On Jun. 9, FR ACPR complied with remote customer onboarding guide.
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FR AMF EBA Remote Onboarding Guide
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GE DBoerse Electronic Administration
On Jun. 14, GE DBoerse announced admission of FWB securities.
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GUE GVT Trading Standards Ordinance
On Aug. 8, GUE GVT confirmed new trading standards ordinance.
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ICE FSIN CoinDesk Bitcoin Futures
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ITA BRS Regulations and Instructions
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ITA CB Customer Verification AML
On Jul. 30, ITA CB issued rules on customer verification AML.
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JPN EXC Carbon Credit Market
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LIC FMA Remote Customer Onboarding
On Jun. 2, LIC FMA confirmed it will comply with EBA guidelines.
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MLT FSA ICARA Submission Update
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MLY BML Framework Harmonization
On Sep. 8, MLY BML amended rules re harmonization of framework.
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NLD EZK Energy Costs Allowance (TEK)
On Oct. 14, NLD EZK published on energy-intensive SMEs costs.
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NOR CB Quotas for Managing Reserves
On Sep. 1, NOR CB updated on banks quotas in system re reserves.
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NSCC Gap Risk Measure Calculation
On Dec. 15, NSCC proposed to amend gap risk measure calculation.
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POR CB Eurosystem Credit Operations
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PR RICO INS Dispute Resolution Process
On Sep. 15, PR RICO INS issued review process re insurance disputes.
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SBA Louisiana Disaster Assistance
On Feb. 3, SBA offered disaster assistance to LOU small businesses.
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SBA PA Working Capital Disaster Loans
On Feb. 8, SBA announced PA disaster loan availability due to drought.
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SBA PA Working Capital Disaster Loans
On Feb. 9, SBA announced PA working capital disaster loan availability.
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SBA PA, NY Working Capital Loans
On Feb. 8, SBA announced working capital loans for PA, NY droughts.
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SEC Adopted Money Market Reforms
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SK FIA Financial Investment Business
On Aug. 17, SK FIA issued revised financial investment business rules.
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SK FSC, FSS Critical Benchmark Rate
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TAI CA Tax Income Tax Declaration
On Sep. 5, TAI CA Tax said income tax declaration started on Sep. 1.
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TAI EXC Overseas Investor Registration
On Aug. 22, TAI EXC issued amended rules re registration process.
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TAI Justice Income Tax Exemption
On Aug. 10, TAI Justice explained covid income tax exemption 2022.
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TUR CSD Investor Risk Tracking System
On Aug. 8, TUR CSD issued YRTS interest transfer report requirement.
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Oct 03
rd
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BEL FSMA Client Sustainability Priorities
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BEL FSMA ESMA MiFID II Remuneration
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BUL FSC MIFID Suitability Requirements
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CSA OSC Financial Disclosure Exempt
On Sep. 21, CSA OSC issued exemption from financial disclosure.
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CSA OSC Non-GAAP Finance Measures
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ESMA MiFID II Product Governance
On Jul. 8, ESMA proposed revised MiFID II product governance guide.
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ESMA MiFID Remuneration Guidance
On Mar. 31, EU ESMA issued final remuneration guidelines in report.
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FINFSA Amended MiFID II Guidelines
On Jun. 1, FINFSA issued amended guidelines re MiFID II compliance.
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FR AMF ESMA Remuneration Guideline
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FR AMF MiFID II Suitability Guidelines
On Jun. 2, FR AMF reported application of updated ESMA guidelines.
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ILL INS COVID-19 Vaccine Coverage
On Sep. 22, ILL INS issued bulletin on COVID-19 vaccine coverage.
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IND NSE Position Limit Violations
On Sep. 8, IND NSE issued revised rules on penalties for violations.
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ITA Consob MiFID II Remuneration
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LUX CSSF MiFID II Product Governance
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LUX CSSF MiFID II Suitability Guidelines
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NH LEG Insurer Administrator Audit
On Jun. 15, NH LEG passed bill re review of administrative operations.
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NH LEG Nursing Employee Breaks
On Jun. 29, NH LEG passed bill requiring break for nursing employee.
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NH LEG Property and Casualty Rates
On Jun. 8, NH LEG passed bill re property, casualty rates and forms.
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NORFSA ESMA Mifid II Guidelines
On Apr. 19, NORFSA complied with guides on remuneration, suitability.
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PEN LEG Property Tax Rent Rebate
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ROM ASF ESMA Guidelines Compliance
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SWE FI MiFID Remuneration Guideline
On May 24, SWE FI confirmed ESMA remuneration guide compliance.
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UAE GVT Consumer Protection Law
On Jul. 3, UAE GVT issued resolution re consumer protection rules.
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Oct 04
th
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BER BMA Digital Asset Business Rules
On Jul. 14, BER BMA issued digital asset cyber risk, disclosure rules.
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KRX Certificate of Deposit Calculation
On Sep. 15, KRX proposed revised OTC derivatives clearing rules.
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KRX Clearing and Settlement System
On Sep. 26, KRX issued plan to launch 2nd-stage EXTURE3.0 system.
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POL GVT Central Pension Information
On May 9, POL GVT published draft of central pension information act.
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SK FTC Fair Subcontracting Rules
On Jun. 30, SK FTC said the revised subcontracting act had passed.
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SK GVT Foreign Financial Institutions
On Sep. 25, SK GVT said revisions to forex rules have been passed.
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SK GVT, SK FTC Supply Cost Linkage
On Jul. 26, SK GVT, SK FTC proposed revisions re supply cost linkage.
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SLV ATVP MiFID II Remuneration Guide
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Oct 05
th
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Oct 06
th
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AST GVT, ASIC Market Integrity Rules
On Mar. 8, AST GVT registered ASIC securities market integrity rules.
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CFTC Bank Swap Dealer Report Relief
On Aug. 31, CFTC temporary reporting relief to bank swap dealers.
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EUREX Clear C7 SCS Release 3.0
On Apr. 24, EUREX Clear reported C7 SCS 3.0 will launch on Nov. 20.
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HHS CMS Alien Status Data Exchange
On Sep. 6, HHS notified of matching program for health plan eligibility.
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SBA Delaware, MD, NJ Disaster Loans
On Feb. 9, SBA announced disaster loans for DEL, MD, NJ for drought.
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Oct 07
th
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Oct 08
th
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Oct 09
th
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BVMF OTC Derivatives Registration
On Sep. 12, BVMF informed on registration of certain OTC derivatives.
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CHI CSRC Programmatic Transactions
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ESP GVT Insurance E-Communication
On Sep. 19, ESP GVT issued insurance electronic communication rules.
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Eurex Equity Derivatives Products
On Sep. 26, Eurex introduced equity options and single stock futures.
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Euronext CCG Cash Equity Markets
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IND NSE Combined Order Log Files
On Sep. 6, IND NSE said it will discontinue combined order log files.
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ITA BRS Trading Times/Delisting Rules
On Sep. 22, ITA BRS issued market regulation amendments.
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SIN GVT Finance Adviser Amendments
On Apr. 25, SIN GVT amended 4 sets of financial advisers regulations.
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SIN GVT Investor Classification
On Sep. 8, SIN GVT amended the securities and futures regulations.
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SIN GVT Securities, Futures Exemption
On Apr. 25, SIN GVT amended regs under securities and futures act.
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UK FCA Trading Venue Perimeter Guide
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UK GVT Horizon Compensation
On Sep. 18, UK GVT offered £600k compensation for Horizon victims.
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Oct 10
th
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CAN ONT DP Personal Health Decision
On Sep. 6, CAN ONT DP reported change re publication of decisions.
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CHI Tax Resident Enterprise Investment
On Sep. 7, CHI Tax issued notice on overseas investment income.
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EGY FRA Insurer Tech Infrastructure
On Apr. 10, EGY FRA required insurers to link databases with FRA.
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EPA Published National Priorities List
On Sep. 9, EPA published national priorities list (NPL) final rule.
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EU CNCL Energy Efficiency Directive
On Mar. 10, EU CNCL, EC confirmed deal reached with EP.
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FIN TEM OECD MNE Conduct Guide
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GRE HCMC MiFID II Suitability Guide
On Jun. 2, GRE HCMC confirmed compliance with ESMA guidelines.
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SBA Alabama Disaster Declaration
On Aug. 17, SBA issued disaster declaration due to storms, tornadoes.
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SBA Declaration of CAL Rural Area Aid
On Aug. 15, SBA published notice of California disaster declaration.
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SBA Louisiana Severe Storms, Winds
On Aug. 17, SBA published a declaration of disaster for Louisiana.
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SBA Mississippi Disaster Declaration
On Aug. 17, SBA issud disaster declaration due to storms, flooding.
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US BIS Russian Airline Export Denial
On Oct. 19, US BIS published notice re export privileges denial order.
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Oct 11
th
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Oct 12
th
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Oct 13
th
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Oct 14
th
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Oct 15
th
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Oct 16
th
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Oct 17
th
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Oct 18
th
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Oct 19
th
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Oct 20
th
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Oct 21
st
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Oct 22
nd
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Oct 23
rd
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Oct 24
th
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Oct 25
th
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Oct 26
th
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Oct 27
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Oct 28
th
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Oct 29
th
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Oct 30
th
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Oct 31
st
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AST AFSA Cheque Payments Obsolete
On Sep. 7, AST AFSA said that cheques will not be a payment option.
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AST AUSTRADE Development Grants
On May 12, AST AUSTRADE guided about its grants re export markets.
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AST Clean Reporting System Opened
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CHI NEEQ Report Preparation Q3 2023
On Sep. 21, CHI NEEQ reminded listed companies on preparing report.
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CZC GVT ARES Register Implementation
On Sep. 20, CZC GVT advised on go-live of administrative register.
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DEN CRG XRBL Guidance Updated
On Sep. 25, DEN CRG updated XBRL/inline XBRL REST example in Java.
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EU CNCL Extends Burundi Sanctions
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Fannie Report Mortgage Loan Letter
On Feb. 2, Fannie issued lender letter on master servicing processes.
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FLA INS Policyholder Disaster Relief
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GE GVT Covid Bridging Allowance IV
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HKMA Principal Payment Holiday
On Oct. 20, HKMA extended principal payment holiday scheme.
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ICE FEU Bond Futures Liquidity Provider
On Oct. 20, ICE FEU extended bond futures liquidity provider program.
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ICE FEU Long Gilt Futures Liquidity
On Oct. 31, ICE FEU extended gilt futures liquidity provider program.
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ICE FEU STIR Option Liquidity Provider
On Dec. 3, ICE FEU notified of STIR options liquidity provider rules.
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IND MH Tax Amnesty Scheme
On Sep. 16, IND MH Tax announced amnesty scheme 2022.
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IND NSE Commodity Derivatives Fees
On Nov. 7, IND NSE issued an update on transaction charges.
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IND NSE Submission of Annual Return
On Sep. 6, IND NSE reminded member to submit annual return.
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IND SEBI AIF Unit Dematerialization
On Feb. 3, IND SEBI consulted on dematerialization of units of AIFs.
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IND SEBI PACL Claim Application
On Jan. 15, IND SEBI issued facility to view status of claims re PACL.
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LUX CSSF SFDR Data Collection
On Mar. 24, LUX CSSF issued information on pre-contract disclosures.
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UK FCA Travel Insurance Conditions
On Feb. 5, UK FCA issued policy on travel insurance and medical cover.
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UK GC Remote Customer Interaction
On Sep. 2, UK GC delayed some remote customer interaction rules.
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UK HMRC Pension Scheme Payments
On Sep. 18, UK HMRC issued rules on authorized member payments.
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UK PSR Extends Confirmation of Payee
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Nov 01
st
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ARG FIU AML for Capitalization Firms
On Sep. 2, ARG FIU issued new risk procedures, controls guidelines.
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AST GVT Health Insurance Amendment
On Jan. 24, AST GVT registered changes to health insurance laws.
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AST GVT Health Insurance Indexing
On Jul. 13, AST GVT issued series of determinations as consolidated.
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AST GVT Health Insurance Pathology
On Dec. 22, AST GVT compiled health insurance determination.
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AST GVT Health Insurance Services
On Nov. 16, AST GVT updated general medical services table rules.
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AST GVT Health Insurance, Midwifery
On Mar. 28, AST GVT amended rules relating to Medicare benefits.
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AUT GVT Employment Contract Law
On Oct. 12, AUT GVT published changes to employment contract law.
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BEL GVT E-Communications Transfers
On Oct. 3, BEL GVT issued rules relating to switching operators.
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BRZ CB Flow of Foreign Capital
On Dec. 31, BRZ CB issued rules in relation to foreign capital in BRZ.
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BRZ CB Fraud Information Sharing
On May 23, BRZ CB instructed on sharing of information on fraud.
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BRZ CVM FIDC Monthly Report Changes
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C-OSFI Bank, Life Insurer Frameworks
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EP Revised Internal Rules of Procedure
On Sep. 13, EP adopted rules to improve integrity and transparency.
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ESMA AIFMD IT Reporting Guidance
On Jan. 6, ESMA issued AIFMD reporting IT technical guidance v. 5.
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Fannie Appraiser Independence Rules
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Fannie COVID-19 Mortgage Benefits
On Nov. 17, Fannie issue letter COVID-19 mortgage payment deferral.
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Fannie Impact of COVID on Servicing
On Dec. 9, Fannie updated letter on impact of COVID-19 on servicing.
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Fannie Qualifying Trust Income Policy
On Sep. 6, Fannie updated policy on use of income earned from trust.
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Freddie Covid-19 Rule Retirement
On Aug. 9, Freddie initiated phased retiring of Covid-19 requirements.
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GE GVT Data Transfer Ordinances
On Jun. 30, GE GVT issued ordinance amending data transfers.
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GE GVT Data Transmission, Retrieval
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HWI LEG Real Property Disclosures
On May 3, HWI LEG issued bill regarding erosion control structures.
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IND SEBI Additional FPI Disclosures
On Aug. 24, IND SEBI issued circular on additional disclosures by FPIs.
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IND SEBI Investment Valuation AIFs
On Jan. 6, IND SEBI consulted on alternative investment funds.
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LIC FMA Residential Mortgage Risks
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LUX PRL Business Preservation Bill
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MAC GVT Public Capital Companies
On Nov. 1, MAC GVT held meetings on legal system for companies.
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NH LEG Business Registrations
On Jul 28, NH LEG enacted bill re ops/regulation of business entities.
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NM INS Life Insurance Reserve Financing
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OKL INS Mental Health Claims
On Sep. 5, OKL INS bulletin re mental health parity, claims denials.
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OKL INS PEO Registration Changes
On Aug. 15, OKL INS issued bulletin re professional employer orgs.
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OKL INS TPA Registration Changes
On Aug. 15, OKL INS issued bulletin on third-party administrators.
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OKL LEG Actions Against LLCs, Venue
On May 26, OKL LEG passed bill clarifying venue for LLC actions.
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OKL LEG Apply Step Therapy Protocol
On Apr. 24, OKL LEG passed bill require health plans use step therapy.
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OKL LEG Behavioral Health Coverage
On May 19, OKL LEG passed bill on behavioral health, health insurers.
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OKL LEG Bill on State Agency Pretense
On May 26, OKL LEG passed bill on false advertising as a state agent.
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OKL LEG Certain Land Owners Banned
On May 22, OKL LEG passed bill prohibiting certain ownership of land.
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OKL LEG Entity Income Tax Bill
On May 26, OKL LEG issued bill relating to revenue and income tax.
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OKL LEG Health Benefit Directories
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OKL LEG Health Benefits Assignability
On May 2, OKL LEG enacted bill on assignability of health benefits.
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OKL LEG Healthcare Credentialing
On May 17, OKL LEG passed bill on healthcare credentialing process.
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OKL LEG Insurance Fund Requirement
On May 26, OKL LEG passed bill on insurance fund requirements.
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OKL LEG Insurance Producer Licensure
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OKL LEG Max Loan Finance Charges
On Apr. 24, OKL LEG enacted bill to increase max for supervised loans.
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OKL LEG Mental Health Benefits
On Jun. 9, OKL LEG bill on mental health, drug use disorder benefits.
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OKL LEG Out-of-State Accountants
On Apr. 19, OKL LEG passed bill re practicing privileges in Oklahoma.
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OKL LEG PEO Modified Registration
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OKL LEG Personal Property Lien Fees
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OKL LEG Securities Commission Bill
On May 5, OKL LEG passed bill re commission members, enforcement.
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OKL LEG Student Loan Servicers Bill
On Apr. 28, OKL LEG passed bill relating to student loan servicers.
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OKL LEG Syphilis Testing Coverage
On Apr. 28, OKL LEG enacted bill regarding medically necessary tests.
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OKL LEG Tax Overpayment Refunds
On May 25, OKL LEG passed bill of a 3-year window to claim refund.
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OKL LEG TPA Licensee Applications
On May 1, OKL LEG passed bill on TPA licensee applications and fees.
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OKL LEG Transfer on Death for Cars
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OKL LEG Transfer-On-Death Deeds
On Apr. 26, OKL LEG enacted bill to provide clarification re real estate.
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OKL LEG Unfair Health Claim Practices
On May 5, OKL LEG bill on unfair heath insurance claims practices.
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OKL LEG Vulnerable Adult Abuse
On May 11, OKL LEG passed bill on vulnerable adult abuse registry.
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UK FCA, BoE, PRA Complaints Scheme
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UK Treasury Overseas CCP Recognition
On Sep. 14, UK Treasury further extended the transitional regime.
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UKRN CB On-Site Banking Supervision
On Sep. 22, UKRN CB amended on-site banking supervision regulation.
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URY GVT Extended MSMEs Tax Benefits
On May 11, URY GVT extended benefits for MSMEs located in border.
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Nov 02
nd
See next month
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Nov 03
rd
See next month
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Nov 04
th
See next month
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Nov 05
th
See next month
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