Recent Reg-Track Rules


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


On Feb. 5, AST GVT issued proposal re buy now pay later regulations.

On Feb. 3, AST ICGC issued guidance on significant breach obligations.

On Jan. 24, DoJ settled with Pfizer re improper physician payments.

On Feb. 4, EC consulted on draft act re content of forms, deadlines.

On Feb. 5, Fannie published updates to selling guide requirements.

On Feb. 4, FINRA fined Apex Clearing over securities lending violations

On Feb. 3, IDN FSA strengthened supervision over smart industry.

On Feb. 4, IND IFSCA issued guidelines re liquidity enhancement.

On Feb. 3, UK FCA issued letter on its priorities for payments firms.

On Feb. 4, UK Treasury amended e-money insolvency Scotland rules.