Soluzioni LEI

Uso normativo del codice LEI



Dopo la crisi finanziaria, l’obiettivo dei sostenitori dell’iniziativa che promuove gli Identificativi della persona giuridica (LEI) – il Gruppo dei 20, il Consiglio per la stabilità finanziaria e numerosi organi di regolamentazione in tutto il mondo – era quello di usare i codici LEI per creare trasparenza nei mercati dei derivati. Come dimostrato dall’attuale popolazione di codici LEI, questi sforzi hanno dato risultati straordinari. In numerose giurisdizioni del mondo, le autorità pubbliche fanno affidamento sui codici LEI per valutare i rischi, intraprendere le misure correttive del caso e, ove richiesto, contenere gli abusi di mercato e migliorare l’attendibilità dei dati finanziari.

Spetta alle autorità che operano nelle singole giurisdizioni prescrivere l’utilizzo dei codici LEI. La Global Legal Entity Identifier Foundation (GLEIF) monitora attentamente le iniziative correlate all’identificazione delle persone giuridiche nell’ambito delle attività di comunicazione e supervisione normative.

Il seguente elenco fornisce una panoramica delle attività normative attuali e proposte che includono l’utilizzo del codice LEI. L’elenco verrà aggiornato regolarmente. Se nelle legislazioni imminenti, rilevanti ai fini dell’adozione del codice LEI, si riscontrano carenze, gli utenti sono invitati a contattarci tramite la nostra pagina di contatto.

Jurisdiction Rule Master/Base Regulation Effective Date LEI Required vs. Requested Approved Vs. Proposed Link
Argentina Central Bank of Argentina Announcements A 5642 and B 11029 August 2015 Required Approved Link Link
Australia Australian Securities and Investments Commission (ASIC) OTC Derivative Transaction Rules (Reporting) 2013 Corporations Act October 2013 Requested Approved Link
Australia Guidance on Australian Securities and Investments Commission (ASIC) Market Integrity Rules for Competition in Exchange Markets (Australia) Corporations Act March 2014 Requested Approved Link
Australia Australian Securities and Investments Commission (ASIC) Derivative Transaction Rules (Clearing) 2015 Corporations Act 2015 Requested Approved Link
Canada Ontario Securities Commission (OSC); Manitoba Securities Commission (MSC); Autorité des marchés financiers (AMF) [Quebec]; Alberta Securities Commission (ASC); British Columbia Securities Commission (BSCS); Nova Scotia Securities Commission Derivatives Act October 2014 Required Approved Link Link Link Link Link
Canada Investment Industry Regulatory Organization of Canada (IIROC) Canada Debt Securities Transaction Reporting Derivatives Act November 2015 Requested Approved Link
Canada Alberta Securities Commission (ASC); 96-101 - Trade Repositories and Derivatives Data Reporting [MI] Derivatives Act January 2016 Required Approved Link
Canada CSA Notice of Amendments to National Instrument 45-106 Prospectus Exemptions relating to Reports of Exempt Distribution July 2016 Requested Approved Link
EU European Banking Authority (EBA) Regulation (EU) No 575/2013 Capital Requirements Regulation (CRR) CRR (Capital Requirements Regulation) March 2014 Requested Approved Link
EU European Insurance and Occupational Pensions Authority (EIOPA) BoS-14-026 Guidelines on the use of LEI June 2015 Required Approved Link
EU European Security and Markets Authority (ESMA) Market Trading Data Reports EMIR October 2014 Required Approved Link
EU Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories (EMIR) EMIR February 2014 Required Approved Link
EU Commission Implementing Regulation (EU) No 1247/2012 of 19 December 2012 laying down implementing technical standards with regard to the format and frequency of trade reports to trade repositories according to Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories EMIR February 2014 Required Approved Link
EU Commission Implementing Regulation (EU) No 1249/2012 of 19 December 2012 laying down implementing technical standards with regard to the format of the records to be maintained by central counterparties according to Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories EMIR January 2013 Required Approved Link
EU European Security and Markets Authority (ESMA) Questions and Answers Implementation of the Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories (EMIR)  EMIR February 2016 Required Approved Link
EU European Security and Markets Authority (ESMA) Guidelines on reporting obligations under Articles 3(3)(d) and 24(1), (2) and (4) of the Alternative Investment Fund Managers Directive (AIFMD) AIFMD August 2014 Requested Approved Link
EU Commission Delegated Regulation (EU) 2015/1 of 30 September 2014 supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with regard to regulatory technical standards for the periodic reporting on fees charged by credit rating agencies for the purpose of ongoing supervision by the European Securities and Markets Authority Text with EEA relevance CRA I (Credit Rating Agencies) 2016 Required Approved Link
EU Commission Delegated Regulation (EU) 2015/2 of 30 September 2014 supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with regard to regulatory technical standards for the presentation of the information that credit rating agencies make available to the European Securities and Markets Authority Text with EEA relevance CRA I (Credit Rating Agencies) March 2016 Required Approved Link
EU Commission Delegated Regulation (EU) 2015/3 of 30 September 2014 supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with regard to regulatory technical standards on disclosure requirements for structured finance instruments Text with EEA relevance CRA I (Credit Rating Agencies) January 2017 Required Approved Link
EU European Banking Authority (EBA) Recommendation On the use of the Legal Entity Identifier (LEI) 2014 Required Approved Link
EU Commission delegated Regulation (EU) 2015/2303 of 28.7.2015 supplementing Directive 2002/87/EC of the European Parliament and of the Council with regard to regulatory technical standards specifying the definitions and coordinating the supplementary supervision of risk concentration and intra-group transactions FICOD (Supervision of Financial Conglomerates) 2015 Requested Approved Link
EU European Banking Authority (EBA) XBRL Filing Rules March 2014 Required Approved Link
EU Directive 2009/138/EC of the European Parliament and of the Council of 25 November 2009 on the taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II) Solvency II January 2016 Required Approved Link
EU Regulation (EU) 2015/2365 of the European Parliament and of the Council of 25 November 2015 on transparency of securities financing transactions and of reuse and amending Regulation (EU) No 648/2012 SFTR (Securities Financing Transactions Regulation) 2017 Required Approved Link
EU Commission implementing Regulation (EU) 2015/2452 of 2 December 2015 laying down implementing technical standards with regard to the procedures, formats and templates of the solvency and financial condition report in accordance with Directive 2009/138/EC of the European Parliament and of the Council Solvency II 2016 Required Approved Link
EU Commission implementing Regulation (EU) No 1348/2014 of 17 December 2014 on data reporting implementing Article 8(2) and Article 8(6) of Regulation (EU) No 1227/2011 of the European Parliament and of the Council on wholesale energy market integrity and transparency REMIT 2015 Requested Approved  Link
EU Commission Implementing Regulation (EU) 2016/378 of 11 March 2016 laying down implementing technical standards with regard to the timing, format and template of the submission of notifications to competent authorities according to Regulation (EU) No 596/2014 of the European Parliament and of the Council MAR (Market Abuse) 2016 Required Approved Link
EU Commission Implementing Regulation (EU) 2016/523 of 10 March 2016 laying down implementing technical standards with regard to the format and template for notification and public disclosure of managers' transactions in accordance with Regulation (EU) No 596/2014 of the European Parliament and of the Council MAR (Market Abuse) July 2016 Required Approved Link
EU Commission Delegated Regulation (EU) 2016/2022 of 14 July 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards concerning the information for registration of third-country firms and the format of information to be provided to the clients MiFIR August 2016 Required Approved Link
EU Commission Delegated Regulation (EU) 2017/590 of 28 July 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the reporting of transactions to competent authorities MiFIR September 2016 Required Approved Link
EU Commission delegated Regulation (EU) 2016/1712 of 7 June 2016 supplementing Directive 2014/59/EU of the European Parliament and of the Council establishing a framework for the recovery and resolution of credit institutions and investment firms with regard to regulatory technical standards specifying a minimum set of the information on financial contracts that should be contained in the detailed records and the circumstances in which the requirement should be imposed BRRD (Bank Recovery and Resolution) October 2016 Requested Approved Link
EU European Security and Markets Authority (ESMA) Guidelines on transaction reporting, order record keeping and clock synchronisation under MiFID II MiFID II October 2016 Required Approved Link
Hong Kong Hong Kong Monetary Authority (HKMA) OTC Trade Repository August 2013 Requested Approved Link
Israel Bank of Israel Order (Information Regarding Transactions in Foreign Currency Derivatives, Index Derivatives, and Interest Rate Derivatives), 5776–2016 January 2017 Required Approved Link
Mexico Central Bank of Mexico Circular 14/2015 Required Approved Link
Russia Central Bank of Russia OTC Derivative transaction reporting, counterparty identification   2015 Required Approved Link
Russia Central Bank of Russia Financial market regulation Identification of securities owners that are entities that perform the record keeping of securities ownership (nominee holders, depositories, including foreign entities) August 2014 Required Approved Link
Singapore Monetary Authority of Singapore (MAS) OTC Derivatives Trade Reporting - Securities and Futures April 2014 Required Approved Link
UK Bank of England Prudential Regulation Authority (PRA) Recommendation to Obtain Legal Entity Identifier   December 2014 Required Approved Link
US Commodity Futures Trading Commission (CFTC) 17 CFR Parts 3, 32, and 33 Commodity Options CEA (Commodity Exchange Act) March 2014 Requested Approved Link
US Commodity Futures Trading Commission (CFTC) Form TO CEA (Commodity Exchange Act) March 2014 Requested Approved Link
US Commodity Futures Trading Commission (CFTC) Form 102 Identification of "Special Accounts" for futures commissions merchants, clearing members and advisors CEA (Commodity Exchange Act) February 2014 Required Approved Link
US Commodity Futures Trading Commission (CFTC) Ownership and Control Reports, Forms 102/102S, 40/40S, and 71; Final Rule CEA (Commodity Exchange Act) October 2015 Requested Approved Link
US Securities and Exchange Commission (SEC) 17 CFR Parts 275 and 279 Rules Implementing Amendments to the Investment Advisers Act of 1940 Investment Advisers Act March 2012 Requested Approved Link
US Securities and Exchange Commission (SEC) Form ADV uniform application for investment adviser registration and report by exempt reporting advisers Investment Advisers Act March 2015 Requested Approved Link
US Commodity Futures Trading Commission (CFTC), Securities and Exchange Commission (SEC) 17 CFR Parts 4, 275 and 279 Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF; Final Rule Investment Advisers Act March 2013 Requested Approved Link
US Securities and Exchange Commission (SEC) Form PF Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors Investment Advisers Act March 2013 Requested Approved Link
US Commodity Futures Trading Commission (CFTC) Swap Data Record Keeping and Reporting Rule (Parts 45 46) CEA (Commodity Exchange Act) August 2012 Required Approved Link Link
US Federal Reserve Announcement of Board Approval Under Delegated Authority and Submission to OMB December 2015 Requested Approved Link
US Federal Reserve Annual Report of Holding Companies - FR Y-6   November 2014 Requested Approved Link
US Federal Reserve Annual Report of Foreign Banking Organizations - FR Y-7   December 2014 Required Approved Link
US Federal Reserve Annual Report of Changes in Organizational Structure – FR Y-10 December 2012 Required Approved Link
US Municipal Securities Rulemaking Board (MSRB) Registration Form A-12   October 2014 Required Approved Link
US National Association of Insurance Commissioners (NAIC) 2013 NAIC Annual Statement and 2014 Quarterly Statement Filing Guidance for the Legal Entity Identifier (LEI) Electronic Only Column in the Investment Schedules 2013 Requested Approved Link
US Securities and Exchange Commission (SEC) 17 CFR Part 242 Consolidated Audit Trail; Final Rule 2012 Optional Approved Link
US Securities and Exchange Commission (SEC) Nationally Recognized Statistical Rating Organization (NRSRO) November 2014 Requested Approved Link
US Securities and Exchange Commission (SEC) FORM N-MFP Monthly Schedule Of Portfolio Holdings Of Money Market Funds October 2014 Requested Approved Link
US Securities and Exchange Commission (SEC) Money Market Fund Reform Amendments to Form N-MFP Investment Company Act July 2015 Requested Approved Link
US Securities and Exchange Commission (SEC) Regulation SBSR – Reporting and Disclosure Dissemination of Security-Based Swap Information Securities Exchange Act March 2015 Required Approved Link
US Department of the Treasury 12 CFR Part 43, Federal Reserve System 12 CFR Part 244, Federal Deposit Insurance Corporation 12 CFR Part 373, Federal Housing Finance Agency 12 CFR Part 1234, Securities and Exchange Commission 17 CFR Part 246, Department of Housing and Urban Development 24 CFR Part 267, Credit Risk Retention; Rule Securities Exchange Act December 2016 Requested Approved Link
US Securities and Exchange Commission (SEC) 17 CFR Parts 200, 210, 232, 239, 240, 249, 270, 274 [Release Nos. 33-10231; 34-79095; IC-32314; File No. S7-08-15] RIN 3235-AL42 Investment Company Reporting Modernization Investment Company Act 2016 Required Approved Link
US Department of the Treasury 31 CFR Part 148 RIN 1505–AC46 Qualified Financial Contracts Recordkeeping Related to Orderly Liquidation Authority Dodd-Frank Act December 2016 Required Approved Link
Canada Autorité des marchés financiers (AMF) Québec Regulation 91-507 respecting trade repositories and derivatives data reporting Derivatives Act July 2016 Requested Approved Link
Canada Ontario Securities Commission Rule 91-507 Trade Repositories and Derivatives Data Reporting Derivatives Act August 2016 Requested Approved Link
Canada CSA Multilateral Notice of Approval Instrument 91-101 Derivatives: Product Determination and Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting and Changes to Related Companion Policies Derivatives Act September 2016 Requested Approved Link
EU European Security and Markets Authority (ESMA) Final Report MiFID II/MiFIR draft Technical Standards on authorisation, passporting, registration of third country firms and cooperation between competent authorities MiFID II/MiFIR January 2018 Requested Approved Link
EU European Security and Markets Authority (ESMA) MiFID II/MiFIR - Regulatory technical and implementing standards–Annex I MiFID II/MiFIR January 2017 Required Approved Link
EU European Security and Markets Authority (ESMA) Consultation Paper–Annex B Regulatory technical standards on MiFID II/ MiFIR MiFID II/MiFIR November 2017 Required Approved Link
EU European Security and Markets Authority (ESMA) Final Report Draft implementing technical standards under MiFID II MiFID II 2016 Required Approved Link
EU European Security and Markets Authority (ESMA) Final Report Draft technical standards on the Market Abuse Regulation MAR (Market Abuse) July 2016 Required Approved Link
EU European Security and Markets Authority (ESMA) Final Report Draft Regulatory Technical Standards on European Electronic Access Point (EEAP) January 2017 Required Approved Link
EU ESMA Final Report Draft Regulatory Technical Standards for CRA 3 CRA III (Credit Rating Agencies) January 2017 Required Approved Link
EU European Security and Markets Authority (ESMA) Final Report Draft regulatory technical standards on settlement discipline under the Regulation No 909/2014 of the European Parliament and of the Council of 23 July 2014 on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and regulation (EU) No 236/2012 (CSDR) CSDR (Central Securities Repositories) 2018 Required Proposed Link
EU European Banking Authority (EBA) new DPM and XBRL taxonomy 2.5 for remittance of supervisory reporting 2017 Requested Approved Link
Switzerland Federal Council Partial Revision of the Federal Law (UID) and Regulation (UID) on the Company's Identification Number 2016 Requested Proposed Link Link
US Home Mortgage Disclosure (Regulation C) HMDA (Home Mortgage Disclosure Act) 2018 Required Approved Link
US Commodities Futures Trading Commission (CFTC) 17 CFR Part 45 Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps CEA (Commodity Exchange Act) 2017 Required Proposed Link
Global Financial Stability Board (FSB) Standards and Processes for Global Securities Financing Data Collection and Aggregation February 2015 Recommended at national/regional level Proposed Link
Global Financial Stability Board (FSB) Report to the G20 on actions taken to assess and address the decline in correspondent banking 2016 Recommended at national/regional level Proposed Link
Global Basel Committee on Banking Supervision, Consultative Document, Guidelines, Revised Annex on correspondent banking Recommended at national/regional level Proposed Link
EU Commission Implementing Regulation (EU) 2016/2070 of 14 September 2016 laying down implementing technical standards for templates, definitions and IT-solutions to be used by institutions when reporting to the European Banking Authority and to competent authorities in accordance with Article 78(2) of Directive 2013/36/EU of the European Parliament and of the Council CRR (Capital Requirements Regulation) 2017 Required Approved Link
EU Commission Delegated Regulation (EU) 2016/1437 of 19 May 2016 supplementing Directive 2004/109/EC of the European Parliament and of the Council with regard to regulatory technical standards on access to regulated information at Union level (Text with EEA relevance) Transparency 2017 Required Approved Link
EU European Banking Authority (EBA) final draft on the framework for cooperation and exchange of information between competent authorities for passport notifications under Directive (EU) 2015/2366 PSD II (Payment Services) 2017 Requested Approved Link
US Commodities Futures Trading Commission (CFTC) 17 CFR Part 49 RIN 3038-AE44 Proposed Amendments to the Swap Data Access Provisions of Part 49 and Certain Other Matters CEA (Commodity Exchange Act) 2017 Link
US Securities and Exchange Commission (SEC) Proposed Rule Change Relating to Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) Securities Exchange Act 2018 Required Proposed Link
EU Commission Implementing Regulation (EU) 2017/394 of 11 November 2016 laying down implementing technical standards with regard to standard forms, templates and procedures for authorisation, review and evaluation of central securities depositories, for the cooperation between authorities of the home Member State and the host Member State, for the consultation of authorities involved in the authorisation to provide banking-type ancillary services, for access involving central securities depositories, and with regard to the format of the records to be maintained by central securities depositories in accordance with Regulation (EU) No 909/2014 of the European Parliament and of the Council CSDR (Central Securities Repositories) 2017 Required Approved Link
EU Commission Implementing Regulation (EU) 2017/393 of 11 November 2016 laying down implementing technical standards with regard to the templates and procedures for the reporting and transmission of information on internalised settlements in accordance with Regulation (EU) No 909/2014 of the European Parliament and of the Council CSDR (Central Securities Repositories) 2017 Required Approved Link
EU European Security and Markets Authority (ESMA) Questions and Answers Implementation of the Regulation (EU) No 909/2014 on improving securities settlement in the EU and on central securities depositories CSDR (Central Securities Repositories) 2017 Required Approved Link
EU European Security and Markets Authority (ESMA) Final Report Technical standards under SFTR and certain amendments to EMIR SFTR (Securities Financing Transactions Regulation) 2017 Required Approved Link
EU Commission Delegated Regulation (EU) 2017/576 of 8 June 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the annual publication by investment firms of information on the identity of execution venues and on the quality of execution MiFID II/MiFIR 2018 Required Approved Link
EU Commission Delegated Regulation (EU) 2017/575 of 8 June 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards concerning the data to be published by execution venues on the quality of execution of transactions MiFID II/MiFIR 2018 Required Approved Link
EU Commission Delegated Regulation (EU) 2017/580 of 24 June 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the maintenance of relevant data relating to orders in financial instruments MiFID II/MiFIR 2018 Required Approved Link
EU Commission Delegated Regulation (EU) 2017/590 of 28 July 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the reporting of transactions to competent authorities MiFID II/MiFIR 2018 Required Approved Link
EU Commission Delegated Regulation (EU) 2017/589 of 19 July 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards specifying the organisational requirements of investment firms engaged in algorithmic trading MiFID II/MiFIR 2018 Required Approved Link
EU Commission Delegated Regulation (EU) 2017/583 of 14 July 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on transparency requirements for trading venues and investment firms in respect of bonds, structured finance products, emission allowances and derivatives MiFID II/MiFIR 2018 Required Approved Link
EU Commission Delegated Regulation (EU) 2017/585 of 14 July 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the data standards and formats for financial instrument reference data and technical measures in relation to arrangements to be made by the European Securities and Markets Authority and competent authorities MiFID II/MiFIR 2018 Required Approved Link
EU Proposal for a Regulation of the European Parliament and of the Council amending Regulation (EU) No 648/2012 as regards the clearing obligation, the suspension of the clearing obligation, the reporting requirements, the risk-mitigation techniques for OTC derivatives contracts not cleared by a central counterparty, the registration and supervision of trade repositories and the requirements for trade repositories EMIR Required Proposed Link
Global Committee on Payments and Market Infrastructures, Board of the International Organization of Securities Commissions, Technical Guidance: Harmonisation of the Unique Transaction Identifier Feb-17 Recommended at national/regional level Proposed Link
EU Regulation (EU) 2017/1129 of the European Parliament and of the Council on the prospectus to be published when securities are offered to the public or admitted to trading on a regulated market, and repealing Directive 2003/71/EC Prospectus Regulation 2017 Required Approved Link
IND Reserve Bank of India Notification RBI/2016-17/314 FMRD.FMID No.14/11.01.007/2016-17 Introduction of Legal Entity Identifier for OTC derivatives markets RBI 1934 (Reserve Bank of India Act) 2017 Required Approved Link
EU Commission Implementing Regulation (EU) 2017/1005 of 15 June 2017 laying down implementing technical standards with regard to the format and timing of the communications and the publication of the suspension and removal of financial instruments pursuant to Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments MiFID II/MiFIR 2017 Required Approved Link
EU Commission Implementing Regulation (EU) 2017/1093 of 20 June 2017 laying down implementing technical standards with regard to the format of position reports by investment firms and market operators MiFID II/MiFIR 2018 Required Approved Link
EU Commission Implementing Regulation (EU) 2017/1443 of 29 June 2017 amending Implementing Regulation (EU) No 680/2014 laying down implementing technical standards with regards to supervisory reporting of institutions according to Regulation (EU) No 575/2013 of the European Parliament and of the Council CRR (Capital Requirements Regulation) 2017 Required Approved Link
US United States of America Federal Energy Regulatory Commission (FERC) 18 CFR Part 35 Notice of Proposed Rulemaking Data Collection for Analytics and Surveillance and Market-Based Rate Purposes Federal Power Act (FPA) 2017 Required Proposed Link
EU European Security and Markets Authority (ESMA) Final Report Draft technical standards on data to be made publicly available by TRs under Article 81 of EMIR EMIR 2017 Required Proposed Link
EU European Insurance and Occupational Pensions Authority (EIOPA) Final Report on Public Consultation No. 14-037 on the Proposal for Guidelines on the use of the Legal Entity Identifier (LEI) Solvency II December 2014 Approved Link
EU Commission Delegated Regulation (EU) 2017/392 of 11 November 2016 supplementing Regulation (EU) No 909/2014 of the European Parliament and of the Council with regard to regulatory technical standards on authorisation, supervisory and operational requirements for central securities depositories CSDR (Central Securities Repositories) 2017 Required Approved Link
Canada CSA Notice of National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions and Related Companion Policy Derivatives Act January 2017 Required Approved Link
Canada Province of British Columbia Rule of the British Columbia Securities Commission Securities Act Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting Derivatives Act July 2016 Required Approved Link
Switzerland  Swiss Financial Market Supervisory Authority FINMA Circular 2018/2 Duty to report securities transaction Financial Market Infrastructure Act (FMIA) 2017 Required Approved Link
EU  Commission Implementing Regulation (EU) 2017/1486 of 10 July 2017 amending Implementing Regulation (EU) 2016/2070 as regards benchmarking portfolios and reporting instructions CRR (Capital Requirements Regulation) 2017 Required Approved Link
Global  International Monetary Fund (IMF) and Financial Stability Board (FSB) The Financial Crisis and Information Gaps, Second Phase of the G-20 Data Gaps Initiative (DGI-2) Second Progress Report 2017 Recommended at national/regional level Proposed Link
Global  Governance arrangements for the unique transaction identifier (UTI) Conclusions and implementation plan 2018 Recommended at national/regional level Proposed Link
Malaysia  Financial Markets Committee (FMC) and Bank Negara Malaysia (Central Bank of Malaysia) Real-time Electronic Transfer of Funds and Securities System (RENTAS) RENTAS 2018 Required Approved Link
EU  European Security and Markets Authority (ESMA) Questions and Answers Implementation of the Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories (EMIR) EMIR 2017 Required Approved Link
EU  European Security and Markets Authority (ESMA) Questions and Answers On MiFID II and MiFIR commodity derivatives topics MiFID II/MiFIR 2017 Requested Approved Link
EU Commission Delegated Regulation (EU) 2017/2055 of 23 June 2017 supplementing Directive (EU) 2015/2366 of the European Parliament and of the Council with regard to regulatory technical standards for the cooperation and exchange of information between competent authorities relating to the exercise of the right of establishment and the freedom to provide services of payment institutions PSD II (Payment Services) 2017 Requested Approved Link
EU European Security and Markets Authority (ESMA) Questions and Answers on MiFIR data reporting MiFID II/MiFIR 2017 Requested Approved Link
EU  European Security and Markets Authority (ESMA) Questions and Answers Implementation of the Regulation (EU) No 909/2014 on improving securities settlement in the EU and on central securities depositories CSDR (Central Securities Repositories) 2017 Requested Approved Link
EU  Regulation (EU) 2016/867 of the European Central Bank of 18 May 2016 on the collection of granular credit and credit risk data (ECB/2016/13) Ana Credit 2017 Requested Approved Link
EU  Guideline (EU) 2017/2335 of the European Central Bank of 23 November 2017 on the procedures for the collection of granular credit and credit risk data (ECB/2017/38) Ana Credit 2017 Requested Approved Link
Brasil  Federal Revenue of Brazil (RFB) Instrução Normativa RFB nº 1634 (RFB Normative Instruction No. 1,634) Corporate Taxpayers Registry 2017 Requested Approved Link
EU  Commission Implementing Regulation (EU) No 680/2014 of 16 April 2014 laying down implementing technical standards with regard to supervisory reporting of institutions according to Regulation (EU) No 575/2013 of the European Parliament and of the Council 2014 Requested Approved Link
JPN  Financial Instruments and Exchange Act Financial Instruments and Exchange Act 2015 Requested Approved Link
JPN  Cabinet Office Ordinance No.48 of July 11, 2012 on the Regulation of Over-the-Counter Derivatives Transactions Financial Instruments and Exchange Act 2015 Requested Approved Link
South Africa  Proposed Central Reporting Requirements for Over the Counter Derivatives Trade Reporting Obligations Board Notice in terms of section 58 of the Financial Markets Act (Act 19 of 2012) Financial Markets Act 2017 Required Approved Link
EU European Security and Markets Authority (ESMA) Draft Implementing Technical Standards on forms and procedures for cooperation under Article 24 and 25 of Regulation (EU) No 596/2014 on market abuse MAR (Market Abuse) 2018 Required Proposed Link
Mexico CIRCULAR 25/2017 dirigida a las instituciones de crédito, casas de bolsa, fondos de inversión, sociedades financieras de objeto múltiple que tengan vínculos patrimoniales con una institución de banca múltiple, almacenes generales de depósito y a la financiera, relativa a las modificaciones a la Circular 4/2012 (Operaciones Derivadas). 2017 Required Approved Link
Hong Kong Hong Kong Monetary Authority (HKMA) and Securites and Futures Commission (SFC) Joint consultation paper on enhancements to the OTC derivatives regime for Hong Kong to – (1) mandate the use of Legal Entity Identifiers for the reporting obligation, (2) expand the clearing obligation and (3) adopt a trading determination process for introducing a platform trading obligation OTC derivatives regulatory regime 2018 Required Proposed Link
Global Committee on Payments and Market Infrastructures Board of the International Organization of Securities CommissionsTechnical Guidance Harmonisation of critical OTC derivatives data elements (other than UTI and UPI) 2018 Recommended at national/regional level Proposed Link
US Reporting Forms - FFIEC 016 Annual Dodd-Frank Act Company-Run Stress Test Report for Depository Institutions and Holding Companies with $10-$50 Billion in Total Consolidated Assets Dodd-Frank Act 2018 Requested Approved Link
US Securities and Exchange Commission (SEC) 17 CFR Parts 229, 230, 232, 239, 240, 249, 270, 274 and 275 [Release No. 33-10425; 34-81851; IA-4791; IC-32858; File No. S7-08-17] RIN 3235-AM02 FAST Act Modernization and Simplification of Regulation S-K Fixing America's Surface Transportation Act ("FAST Act") 2018 Requested Proposed Link
IND Statement on Developmental and Regulatory Policies Reserve Bank of India, October 04, 2017 2018 Requested Approved Link
CHN Order of the People’s Bank of China (No. 3 [2017] The Measures for the Registration of Pledged receivables as amended and issued by the People’s Bank of China 2017 Requested Approved Link
EU Questions and Answers Implementation of the Regulation (EU) No 909/2014 on improving securities settlement in the EU and on central securities depositories CSDR (Central Securities Repositories) 2018 Required Approved Link
EU Commission Implementing Regulation (EU) 2018/708 of 17 April 2018 laying down implementing technical standards with regard to the template to be used by managers of money market funds when reporting to competent authorities as stipulated by Article 37 of Regulation (EU) 2017/1131 of the European Parliament and of the Council UCITS 2018 Required Approved Link

Dati all'2018-05-29
Fonte: GLEIF