Recent Reg-Track Rules

Here are some of the recent rules on Reg-Track, that we have made available.

  1. On Oct. 18, Treasury OFAC designated drug trafficker linked to FARC.

  2. On Oct. 18, UK PRA issued final rules on SMCR insurers extension.

  3. On Oct. 18, AFM issued fine to E&Y for independence violations.

  4. On Oct. 18, HKMA guide on client investment horizon for suitability.

  5. On Oct. 18, Basel proposed rules on client cleared derivatives.

  6. On Oct. 17, Cboe BYX, BZX, EDGA, EDGX rules on purge ports.

  7. On Oct. 17, DoJ charged FinCEN staff for disclosing Russia SARs.

  8. On Oct. 17, UK PRA issued final policy on the volatility adjustment.

  9. On Oct. 17, Basel issued final version of stress testing principles.

  10. On Oct. 17, APRA set expectations on executive accountability.