Recent Reg-Track Rules

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

  1. On Oct. 18, FCA issued letter to UK FB on reporting suspicions.

  2. On Oct. 22, IND NPC updated on new initiatives and programs.

  3. On Oct. 18, FINRA issued notice on retrospective review for ACMs.

  4. On Oct. 21, GE BaFin issued 1st national risk analysis re AML/CFT.

  5. On Oct. 22, FR GVT published ordinance on public offers of securities.

  6. On Oct. 21, EC consulted on market risk standardized approach.

  7. On Oct. 21, SRI CB said it was delisted from grey list by FATF.

  8. On Oct. 18, IND NSD issued updated guidelines on AML/CFT.

  9. On Oct. 17, Basel issued FSI Chair speech on Fintech challenges.

  10. On Oct. 17, AST ASIC issued regulatory and enforcement update.