Recent Reg-Track Rules

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

  1. On May 25, Basel issued FX global code for practices in FX markets.

  2. On May 5, CNMV head Albella spoke on MiFID II investor protection.

  3. On May 23, SEBI updated guidance on permissible investments.

  4. On May 23, EBA issued opinion on own funds ahead of CRR review.

  5. On May 23, OCC issued guidance on new policies for legal violations.

  6. On May 24, NYDFS fined BNP $350mn for various FX trading violations.

  7. On May 18, FHFA Director Watt spoke on mortgage finance sector.

  8. On May 17, FINRA CEO Cook spoke on evolving role and challenges.

  9. On May 17, CFTC announced LabCFTC to promote fintech innovation.

  10. On May 16, ESMA Patrick Armstrong spoke on RegTech enhancements.