解决方案

LEI 的监管用途



在金融危机之后,法人机构识别编码 (LEI) 倡议的推动者——20 国集团、金融稳定理事会以及世界各地的众多监管机构——的目标,是使用 LEI,在衍生品市场中带来透明度。如目前 LEI 群组数据所示,这些努力已取得杰出成效。在全球很多司法管辖区中,公共机关依赖于 LEI 以评估风险、采取纠正措施,并在需要的情况下,最大程度减少市场滥用并提升金融数据的准确性。

各辖区的权威机构有权强制要求使用 LEI。Global Legal Entity Identifier Foundation (GLEIF) 密切监测监管报告和监督中,与法人机构识别相关的举措。

以下列表概述了当前和提议的监管活动,包括使用 LEI。我们将会定期更新该列表。如果您发现在 LEI 采纳方面,遗漏了任何即将推出的立法举措,请使用我们的联系人页面提供反馈。

Jurisdiction Rule Master/Base Regulation Effective Date LEI Required vs. Requested Approved Vs. Proposed Link
Global "Financial Stability Board (FSB) - Options to Improve Adoption of The LEI, in Particular for Use in Cross-border Payments" 2022 Recommended at national/regional level Approved Link
Global Bank for International Settlements (BIS) Corporate digital identity: no silver bullet, but a silver lining BIS Papers No 126 2022 Recommended at national/regional level Approved Link
US Securities and Exchange Commission (SEC) Proposed Rule Amendments for Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices, Form N-CEN Securities Exchange Act 2022 Required Proposed Link
Global World Economic Forum (WEF) Defining and Measuring Payment Interoperability 2022 Recommended at national/regional level Approved Link
Global WTO, The promise of TradeTech chapter 3 - Global Digital Identity 2022 Recommended at national/regional level Approved Link
Global OECD, Public consultation document, Crypto-Asset Reporting Framework and Amendments to the Common Reporting Standard 2022 Recommended at national/regional level Approved Link
US Securities and Exchange Commission (SEC) Proposed Rule Short Position and Short Activity Reporting by Institutional Investment Managers Securities Exchange Act 2022 Required Proposed Link
US Securities and Exchange Commission (SEC) Proposed Rule Amendments Regarding the Definition of “Exchange” and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities Securities Exchange Act 2022 Required Proposed Link
Mexico Banco de Mexico Circular 14/2015, as modified by Circular 24/2017 of 27 December 2017 Required Approved Link
Africa Association of African Central Banks' List of decisions 2021 Requested Approved Link
Africa African Development Bank: More Transparency for Better Business - the Potential of Legal Entity Identifiers for African Economies 2020 Requested Approved Link
Asia Asian Development Bank: 2021 Trade Finance Gaps, Growth, and Jobs Survey 2021 Requested Approved Link
Asia Asian Development Bank : Can the pandemic help end the paper chase that is hobbling international trade? 2021 Requested Approved Link
Asia Asian Development Bank :Trade and Legal Entity Identifier 2019 Requested Approved Link
Asia Asian Development Bank Legal Entity Identifier Accessibility: A Survey by the Trade Finance Program 2019 Requested Approved Link
Global GAIN DIGITAL TRUST : How Financial Institutions are taking a leadership role in the Digital Economy by establishing a Global Assured Identity Network 2021 Requested Approved Link
Global United Nations Capital Development Fund (UNCDF) Open Regulated Global Payments Inter-Network 2022 Requested Approved Link
Global Bank for International Settlements: Corporate digital identity: no silver bullet, but a silver lining 2022 Requested Approved Link
Global World Economic Forum Defining and Measuring Payment Interoperability 2022 Requested Approved Link
Global World Trade Organization & World Economic Forum, The promise of TradeTech: Policy approaches to harness trade digitalization 2022 Requested Approved Link
Global Wolfsberg Group Guidance on Digital Customer Lifecycle Risk Management 2022 Requested Approved Link
Global World Trade Organization & International Chamber of Commerce: Standards Toolkit for Cross-border Paperless Trade 2022 Requested Approved Link
Global International Chamber of Commerce: Reconceiving the global trade finance ecosystem 2021 Requested Approved Link
Global Financial Stability Board : G20 Roadmap for Enhancing Cross-border Payments First Consolidated Progress Report 2021 Requested Approved Link
Global SWIFT Payments Market Practice Group: Guiding principles for screening ISO 20022 payments 2021 Requested Approved Link
Global SWIFT Payments Market Practice Group: Global adoption of the LEI (Legal Entity Identifier) in ISO 20022 Payment Messages - 2021 2021 Requested Approved Link
Global Business at OECD, B20 and IOE: Trade Finance, a flywheel effectto boost the economic recoverypost COVID 19 pandemic 2021 Requested Approved Link
Global Financial Stability Board Enhancing Cross-border Payments Stage 3 roadmap 2020 Requested Approved Link
Global Bank for International Settlements: Enhancing Cross-border Payments Stage 2 roadmap 2020 Requested Approved Link
Global Basel Committee on Banking Supervision Guidelines for “Sound management of risks related to money laundering and financing of terrorism” 2020 Requested Approved Link
Global International Finance Corporation World Bank Group: Navigating Essential Anti-Money Laundering and Combating the Financing of Terrorism Requirements in Trade Finance: A Guide for Respondent Banks 2018 Requested Approved Link
Global Committee on Payments and Market Infrastructures Correspondent banking - final report 2016 Requested Approved Link
Global Financial Stability Board (FSB) Options to Improve Adoption of the LEI, in Particular for Use in Cross-border Payments 2022 Requested Approved Link
United Kingdom Bank of England: Charting the Future of Post-Trade Findings from the Post-Trade Task Force 2022 Requested Approved Link
United Kingdom The Bank of England and fintech: public support for private innovation - speech by Dave Ramsden 2021 Requested Approved Link
United Kingdom Bank of England's response to the van Steenis review on the Future of Finance 2019 Requested Approved Link
United Kingdom Securitisation Regulation (onshored) 2020 Required Approved Link
United Kingdom UK Prospectus Regulation 2017 Required Approved Link
United Kingdom UK Securities Financing Transactions Regulation 2021 Required Approved Link
United Kingdom UK EMIR 2021 Required Approved Link
United Kingdom Commission Delegated Regulation 2017/585 (RTS 23) as onshored UK Markets in Financial Instruments Regulation (MiFIR) 2021 Required Approved Link
United Kingdom Commission Delegated Regulation 2017/590 (RTS 22) as onshored UK Markets in Financial Instruments Regulation (MiFIR) 2021 Required Approved Link
United Kingdom RFB008: Excluded activities and prohibitions 2019 Required/Requested Approved Link
United Kingdom RFB007: Use of financial market infrastructures 2019 Required/Requested Approved Link
United Kingdom RFB006: Excluded activity entities 2019 Required/Requested Approved Link
United Kingdom RFB005: Joint and several liability arising from taxes 2019 Required/Requested Approved Link
United Kingdom RFB004 Intragroup financial reporting 2019 Required/Requested Approved Link
United Kingdom RFB003 Intragroup financial reporting (core) 2019 Required/Requested Approved Link
United Kingdom RFB002: Intragroup funding 2019 Required/Requested Approved Link
United Kingdom RFB001 Intragroup exposures 2019 Required/Requested Approved Link
United Kingdom Instructions for completing PRA110 2020 Required/Requested Approved Link
United Kingdom PRA109 - Operational continuity 2019 Required/Requested Approved Link
United Kingdom Instructions for forecast profit or loss template (PRA107) 2018 Required/Requested Approved Link
United Kingdom Instructions for forecast balance sheet templates (PRA104 –PRA106) 2018 Required/Requested Approved Link
United Kingdom Instructions on filling in data-points in PRA103 Capital+ forecast annual 2018 Required/Requested Approved Link
United Kingdom Instructions on filling in data-points in PRA102 Capital+ forecast - 2018 Required/Requested Approved Link
United Kingdom Instructions on filling in data-points in PRA101 - Capital+ 2018 Required/Requested Approved Link
United Kingdom Loan level data collection for buy to let lending Section 17 of the Bank of England Act 1998 2017 Requested Approved Link
United Kingdom Sterling Money Market Daily Reporting (SMMD) Bank of England Act 1998 Required Approved Link
United Kingdom Bank of England Prudential Regulation Authority (PRA) Recommendation to Obtain Legal Entity Identifier 2014 Required Approved Link
Argentina CNV General Resolution 775/2018 National Securities Commission (CNV) 2018 Requested Approved Link
Argentina Banco Central de la Republica Argentina, COMUNICACIÓN A 6387 of 12 November 2017 (repealing COMUNICACIÓN "A" 5642 of 7 October 2014 and COMUNICACIÓN "B" 11029 of 8 June 2015) 2018 Requested Approved Link
Luxembourg Circular CSSF 15/627 of 3 December 2015 2016 Requested Approved Link
South Africa Conduct Standard for Reporting Obligations in Respect of Transactions in Over-the-Counter Derivatives Financial Markets Act (Act 19 of 2012) 2018 Required Approved Link
Malaysia Buying and Selling of Foreign Exchange (FX) by Non-Resident 2022 Required Approved Link
Hong Kong Investor identification regime at trading level for the securities market in Hong Kong (HKIDR) Paragraph 5.6 of the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (Code of Conduct) [Draft] 2022 Optional Approved Link
Turkey Central Securities Depository's Letter for ensuring ISIN to LEI Linkage (Letter Number: 871) 2019 Required Approved Link
Russia Instructions of the Central Bank of Russia on 4104-Y of August 16, 2016 2016 Required Approved Link
Russia Holders of depositary receipts are identified by international code 2016 Required Approved Link
Russia "Commentary on the procedure for filling out credit history indicators in accordance with Bank of Russia Regulation No. 758-P dated May 11, 2021" 2021 Requested Approved Link
Russia Central Bank of Russia Explanations on the Formation of the Supervisory reporting in XBRL Format Specialized Depositories 2021 Requested Approved Link
Russia On amendments to Bank of Russia Ordinance No. 4927‑U dated October 8, 2018 “On the list, forms and procedure for compiling and submitting reporting forms credit institutions to the Central Bank of the Russian Federation” 2022 Requested Approved Link
Russia Central Bank of Russia On the volume, forms, terms and procedure for compiling and submitting to Bank of Russia reporting by professional participants in the securities market securities, trade organizers and clearing organizations, as well as other information 2022 Requested Proposed Link
Russia Central Bank of Russia On the volume, forms, procedure and terms for compiling and submitting reports to the Bank of Russia by joint-stock investment funds, management companies of investment funds, mutual funds investment funds and non-state pension funds 2022 Requested Proposed Link
Russia Central Bank of Russia On the volume, forms, terms and the procedure for compiling and submitting reporting of a specialized depository 2022 Requested Proposed Link
EU OPINION OF THE EUROPEAN CENTRAL BANK of 7 June 2022 on the establishment and functioning of the European Single Access Point (ESAP)(CON/2022/20) 2022 Requested Approved Link
EU Eurosystem reply to the European Commission’s public consultations on the Renewed Sustainable Finance Strategy and the revision of the Non-Financial Reporting Directive 2020 Requested Approved Link
EU European Systemic Risk Board (ESRB) :The benefits of the Legal Entity Identifier for monitoring systemic risk 2021 Requested Approved Link
EU European Court of Auditors's Special Report: Investment funds EU actions have not yet created a true single market benefiting investors 2021 Requested Approved Link
EU European Systemic Risk Board (ESRB)'s Recommendation of identifying legal entities (ESRB/2020/12) 2020 Requested Approved Link
EU European Banking Authority (EBA)'s Report on the Future AML/CFT Framework in the EU 2020 Requested Approved Link
EU ESCB/European banking supervision response to the European Commission’s public consultation on a new digital finance strategy for Europe/FinTech action plan 2020 Requested Approved Link
EU European Securities and Markets Authority (ESMA)’s response to the European Commission’s Consultation on a New Digital Finance Strategy for Europe 2020 Requested Approved Link
EU Fitness Check of EU Supervisory Reporting Requirements Report 2019 Requested Approved Link
EU Commission Delegated Regulation (EU) 2020/1226 of 12 November 2019 supplementing Regulation (EU) 2017/2402 of the European Parliament and of the Council and laying down regulatory technical standards specifying the information to be provided in accordance with the STS notification requirements Commission Implementing Regulation (EU) 2020/1227 of 12 November 2019 laying down implementing technical standards with regard to templates for the provision of information in accordance with the STS notification requirements Article 27 of Regulation (EU) 2017/2402 of the European Parliament and of the Council of 12 December 2017 laying down a general framework for securitisation and creating a specific framework for simple, transparent and standardised securitisation 2020 Approved Link
EU 2009/65/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) (recast) Article 6 of Directive 2009/65/EC of the European Parliament and of the Council Requested Approved Link
EU Regulation (EU) No 1333/2014 of the European Central Bank of 26 November 2014 concerning statistics on the money markets (ECB/2014/48) Money Market Statistical Reporting (MMSR) Regulation 2020 Requested Approved Link
EU EIOPA's initiative on pensions data: Decision of the Board of Supervisors on EIOPA's regular information requests towards NCAs regarding provision of occupational pensions information [EIOPA-BoS/18-114] and [EIOPA-BoS/20-362] Article 35 of EIOPA's Founding Regulation (EU) No 1094/2010; provisions of Directive (EU) 2016/23412 (IORP Directive) Optional Approved Link
EU Commission Implementing Regulation (EU) 2020/1406 of 2 October 2020 laying down implementing technical standards with regard to procedures and forms for exchange of information and cooperation between competent authorities, ESMA, the Commission and other entities under Articles 24(2) and 25 of Regulation (EU) No 596/2014 of the European Parliament and of the Council on market abuse Regulation (EU) No 596/2014 (MAR) 2019 Optional Approved Link
Australia  RG 265 Guidance on ASIC market integrity rules for participants of securities markets 2020 Requested Approved Link
Australia  APRA Reporting Standard ARS 222 - Exposure to Related Entities Financial Sector (Collection of Data) Act 2001, Part 3 Provision of documents to APRA 2020 Requested Approved Link
Australia  APRA Reporting Standard ARS 221.0 Large Exposures Financial Sector (Collection of Data) Act 2001, Part 3 Provision of documents to APRA 2020 Requested Approved Link
Australia  REGULATORY GUIDE 265 Guidance on ASIC market integrity rules for participants of securities markets Corporations Act 2001, Part 7.2A Supervision of financial markets 2018 Optional Approved Link
India  Reserve Bank of India Notification DBR.No.BP.BC.92/21.04.048/2017-18 dated November 02, 2017 Introduction of Legal Entity Identifier for large corporate borrowers Section 21 and Section 35 A of BR Act, 1949 2017 Required Approved Link
Canada Rule 2800C Transaction Reporting for Debt Securities 2016 Requested Approved Link
Canada IIROC Dealer Member Rules  Investment Industry Regulatory Organization of Canada (IIROC) DRAFT amendments to IIROC Rule 18-0122 Universal Market Integrity Rules (UMIR) and the Dealer Member Rules (DMR) 2021 Required Approved Link
China Order No. 7 [2021] of the People's Bank of China  Measures for unified registration of chattel and guaranty of rights 2021 Optional Approved Link
China No. 283 [2020] of the People's Bank of China  Roadmap to Implement Legal Entity Identifier in China (2020-2022) 2020 Approved Link
China No. 91 [2020] of the General Department of the State Administration of Foreign Exchange  Administrative Specification on Code Standards of Information Systems of State Administration of Foreign Exchange 2020 Optional Approved Link
China N0. 217 [2021] of the People's Bank of China, National Development and Reform Commission, Ministry of Finance of PRC, China Banking and Insurance Regulatory Commission, China Securities Regulatory Commission, State Administration of Foreign Exchange  Guiding opinions on promoting high-quality development of the reform and opening up of the corporate credit bond market 2021 Requested Approved Link
China The Guidelines on Account Business of Central Government Bond Registration & Clearing Co., LTD. 2020 Required Approved Link
China People's Bank of China: Five-Year Plan for Financial Standardization  2022 Requested Approved Link
China Cross-Border Interbank Payment System (CIPS): Cross-Border Interbank Payment System: Promote LEI in RMB Cross-border Payment Ecosystem  2022 Requested Approved Link
US SEC: The Lessons of Structured Data  2021 Requested Approved Link
US SEC: Statement on Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities 2022 Requested Approved Link
US  U.S. Customs and Border Protection (CBP), Department of Homeland Security 87 FR 11726, Entry/Immediate Delivery Application and ACE Cargo Release Paperwork Reduction Act of 1995 2022 Required Proposed Link
US Securities Exchange Commission (SEC) 17 CFR 275, 279, Amendments to Form PF To Require Current Reporting and Amend Reporting Requirements for Large Private Equity Advisers and Large Liquidity Fund Advisers Investment Advisers Act 2022 Required Proposed Link
US Securities and Exchange Commission (SEC) 17 CFR 270, Money Market Fund Reforms Investment Company Act 2022 Required Proposed Link
EU European Insurance and Occupational Pensions Authority (EIOPA) Guidelines on Legal Entity Identifier Insurance and Reinsurance 2021 Recommended at national/regional level Approved Link
EU European Banking Authority (EBA) Guidelines on cooperation and information exchange between prudential supervisors, AML/CFT supervisors and financial intelligence units under Directive 2013/36/EU AML/CFT 2022 Requested Approved Link
US Department of the Treasury Financial Crimes Enforcement Network (FinCEN), 31 CFR Part 1010 RIN 1506–AB49 Beneficial Ownership Information Reporting Requirements Corporate Transparency Act (CTA) 2022 Requested Proposed Link
India RBI/2021-22/137 A.P. (DIR Series) Circular No. 20 Introduction of Legal Entity Identifier for Cross-border Transactions Foreign Exchange Management Act (FEMA) 2021 Requested Approved Link
Global Wolfsberg Group Guiding principles for screening ISO 20022 payments 2021 Recommended at national/regional level Approved Link
EU Directive of the European Parliament and of the Council on credit servicers and credit purchasers and amending Directives2008/48/EC and 2014/17/EU 2021 Requested Approved Link
US H.R.2989 - Financial Transparency Act of 2021 Financial Transparency Act 2021 Required Proposed Link
Global Basel Committee on Banking SupervisionCommittee on Payments and Market Infrastructures Board of the International Organization of Securities Commissions Consultative report Review of margining practices 2022 Recommended at national/regional level Proposed Link
Global Financial Action Task Force (FATF) Updated Guidance for a risk-based approach Virtual Assets and Virtual Asset Service Providers 2021 Recommended at national/regional level Approved Link
Global Financial Action Task Force (FATF) Cross-Border Payments Survey Results on Implementation of the FATF Standards October 2021 2021 Recommended at national/regional level Approved Link
EU European Banking Authority (EBA) Draft Regulatory Technical Standards On disclosure of investment policy by investment firms under Article 52 of Regulation (EU) 2019/2033 on the prudential requirements of investment firms IFD (Investment Firms Directive) 2022 Required Approved Link
US Securities and Exchange Commission (SEC) 17 CFR Parts 232, 240, 249, 270, and 274, Amended Form N-PX Investment Company Act 2022 Requested Proposed Link
US Securities and Exchange Commission (SEC) 17 CFR Parts 200, 240, and 249 Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers Dodd-Frank Act 2020 Required Approved Link
Argentina Central Bank of Argentina Announcements A 5642 and B 11029 2015 Required Approved Link
Australia Australian Securities and Investments Commission (ASIC) OTC Derivative Transaction Rules (Reporting) 2013 Corporations Act 2013 Requested Approved Link
Australia Guidance on Australian Securities and Investments Commission (ASIC) Market Integrity Rules for Competition in Exchange Markets (Australia) Corporations Act 2015 Requested Approved Link
Australia Australian Securities and Investments Commission (ASIC) Derivative Transaction Rules (Clearing) 2015 Corporations Act 2015 Requested Approved Link
Canada Investment Industry Regulatory Organization of Canada (IIROC) Canada Debt Securities Transaction Reporting Derivatives Act 2015 Requested Approved Link
Canada Alberta Securities Commission (ASC); 96-101 - Trade Repositories and Derivatives Data Reporting [MI] Derivatives Act 2016 Required Approved Link
Canada CSA Notice of Amendments to National Instrument 45-106 Prospectus Exemptions relating to Reports of Exempt Distribution 2016 Requested Approved Link
EU European Insurance and Occupational Pensions Authority (EIOPA) BoS-14-026 Guidelines on the use of LEI Insurance and reinsurance 2015 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 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 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 2013 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 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) 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) 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 2018 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) 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 MiFID II/MiFIR 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 MiFID II/MiFIR 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) 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/MiFIR 2016 Required Approved Link
Hong Kong Interim reporting requirements for OTC derivative transactions OTC Trade Repository 2013 Requested Approved Link
Israel Bank of Israel Order (Information Regarding Transactions in Foreign Currency Derivatives, Index Derivatives, and Interest Rate Derivatives), 5776–2016 2017 Required Approved Link
Mexico Central Bank of Mexico Circular 14/2015 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) 2014 Required Approved Link
Singapore Monetary Authority of Singapore (MAS) OTC Derivatives Trade Reporting - Securities and Futures Act (Chapter 289) Securities and Futures Act 2014 Required Approved Link
United Kingdom Bank of England Prudential Regulation Authority (PRA) Recommendation to Obtain Legal Entity Identifier   2014 Required Approved Link
US Commodity Futures Trading Commission Final Rule for Trade Options CEA (Commodity Exchange Act) 2020 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) 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 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 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 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 2013 Requested Approved Link
US Commodity Futures Trading Commission (CFTC) Swap Data Record Keeping and Reporting Rule (Parts 45 46) CEA (Commodity Exchange Act) 2012 Required Approved Link Link
US Federal Reserve Announcement of Board Approval Under Delegated Authority and Submission to OMB 2015 Requested Approved Link
US Municipal Securities Rulemaking Board (MSRB) Registration Form A-12   2014 Required 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 17 CFR Parts 232, 240, 249, and 249b Nationally Recognized Statistical Rating Organizations Final Rule 2014 Requested Approved Link
US Securities and Exchange Commission (SEC) FORM N-MFP Monthly Schedule Of Portfolio Holdings Of Money Market Funds 2014 Requested Approved Link
US Securities and Exchange Commission 17 CFR Parts 230, 239, 270, 274 and 279 Money Market Fund Reform; Amendments to Form PF Investment Company Act 2015 Requested Approved Link
US Securities and Exchange Commission 17 CFR Part 242 Regulation SBSR—Reporting and Dissemination of Security-Based Swap Information Securities Exchange Act 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 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 2016 Required Approved Link
Canada Autorité des marchés financiers (AMF) Québec Regulation 91-507 respecting trade repositories and derivatives data reporting Derivatives Act 2016 Requested Approved Link
Canada Amendments to OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting Derivatives Act 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 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 2018 Requested Approved Link
EU European Security and Markets Authority (ESMA) MiFID II/MiFIR - Regulatory technical and implementing standards–Annex I MiFID II/MiFIR 2017 Required Approved Link
EU European Security and Markets Authority (ESMA) Final Report Draft implementing technical standards under MiFID II MiFID II/MiFIR 2016 Required Approved Link
EU European Security and Markets Authority (ESMA) Final Report Draft technical standards on the Market Abuse Regulation MAR (Market Abuse) 2016 Required Approved Link
EU European Security and Markets Authority (ESMA) Final Report Draft Regulatory Technical Standards on European Electronic Access Point (EEAP) 2017 Required Approved Link
EU ESMA Final Report Draft Regulatory Technical Standards for CRA 3 CRA III (Credit Rating Agencies) 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
US Home Mortgage Disclosure (Regulation C) HMDA (Home Mortgage Disclosure Act) 2018 Required Approved Link
US Commodities Futures Trading Commission (CFTC) 17 CFR Part 43, 45, and 49 Certain Swap Data Repository and Data Reporting Requirements CEA (Commodity Exchange Act) 2020 Required Approved Link
Global Financial Stability Board (FSB) Standards and Processes for Global Securities Financing Data Collection and Aggregation 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
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 Approve 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
US FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) Securities Exchange Act 2020 Required Approved 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) 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) 2017/589 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 2017 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
India 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 Data Collection for Analytics and Surveillance and Market-Based Rate Purposes Federal Power Act (FPA) 2021 Required Approved 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 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 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 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
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 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  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
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
Japan  Financial Instruments and Exchange Act Financial Instruments and Exchange Act 2015 Requested Approved Link
Japan  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  Discussion Paper on the Implementation of Legal Entity Identifiers Financial Markets Act 2018 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, March 2018 OTC derivatives regulatory regime 2018 Required Approved Link
Global Committee on Payments and Market Infrastructures Board of the International Organization of Securities Commissions Technical 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
India Statement on Developmental and Regulatory Policies Reserve Bank of India, October 04, 2017 2018 Requested Approved Link
China 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 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
Malaysia Financial Markets Committee (FMC) and Bank Negara Malaysia (Central Bank of Malaysia) RENTAS Segregated Securities Account RENTAS 2018 Required Approved Link
India Legal Entity Identifier Code for participation in non-derivative markets RBI 1934 (Reserve Bank of India Act) 2018 Required Approved Link
Hong Kong Hong Kong Monetary Authority (HKMA) and Securites and Futures Commission (SFC) Joint consultation conclusions 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, June 2018 OTC derivatives regulatory regime 2019 Required Approved Link
EU European Security and Markets Authority (ESMA) Consultation Paper - Draft technical advice on minimum information content for prospectus exemption Prospectus Regulation 2019 Required Proposed Link
US Department of the Treasury 12 CFR Part 1610 Ongoing Data Collection of Centrally Cleared Transactions in the U.S. Repurchase Agreement Market Dodd-Frank Act 2019 Required Approved Link
EU Commission Delegated Regulation (EU) 2021/1722 of 18 June 2021 supplementing Directive (EU) 2015/2366 of the European Parliament and of the Council with regard to regulatory technical standards specifying the framework for cooperation and the exchange of information between competent authorities of the home and the host Member States in the context of supervision of payment institutions and electronic money institutions exercising cross-border provision of payment services: PSD II (Payment Services) 2021 Required Approved Link
EU Commission Implementing Regulation (EU) 2018/1212 of 3 September 2018 laying down minimum requirements implementing the provisions of Directive 2007/36/EC of the European Parliament and of the Council as regards shareholder identification, the transmission of information and the facilitation of the exercise of shareholders rights Shareholder Rights Directive 2018 Required Approved Link
EU Commission Delegated Regulation (EU) 2018/1229 of 25 May 2018 supplementing Regulation (EU) No 909/2014 of the European Parliament and of the Council with regard to regulatory technical standards on settlement discipline CSDR (Central Securities Repositories) 2020 Required Approved Link
Turkey Bylaw on Foundation, Operation and Supervision Principles of Data Storage Organisations within the framework of Article 87 of the Capital Market Law (Law No. 6362) Capital Markets Law 2018 Required Approved Link
Mexico Central Bank of Mexico Guía dirigida a los Intermediarios Financieros para el uso del Código LEI. 2018 Required Approved Link
US Federal Deposit Insurance Corporation (FDIC) 12 CFR Part 371 RIN 3064–AE54 Recordkeeping Requirements for Qualified Financial Contracts 12 CFR Part 371 - Recordkeeping Requirements for Qualified Financial Contracts (QFC) 2017 Required Approved Link
US Reporting Forms - FFIEC 03 and 041 Consolidated Reports of Condition and Income for a Bank with Domestic and Foreign Offices Federal Financial Institutions Examination Council (FFIEC) Quarterly Consolidated Reports of Condition and Income 2016 Required Approved Link
Global Financial Stability Board (FSB) Second Phase of the G20 Data Gaps Initiative (DGI-2) 2018 Recommended at national/regional level Proposed Link
India Reserve Bank of India Notification No.FMRD.FMID.08/2018 dated October 05, 2018 The Electronic Trading Platforms (Reserve Bank) Directions, 2018 RBI 1934 (Reserve Bank of India Act) 2018 Required Approved Link
India Securities and Exchange Board of India Circular SEBI/HO/CDMRD/DMP/CIR/P/2018/134 of October 9, 2018 Annexure: Regulatory framework for Eligible Foreign Entities (EFEs) in Commodity Derivatives Segment Securities and Exchange Board of India Act 1992 2018 Required Approved Link
EU Commission Delegated Regulation (EU) 2018/1645 of 13 July 2018 supplementing Regulation (EU) 2016/1011 of the European Parliament and of the Council with regard to regulatory technical standards for the form and content of the application for recognition with the competent authority of the Member State of reference and of the presentation of information in the notification to European Securities and Markets Authority (ESMA) Benchmark Regulation 2019 Required Approved Link
EU Commission Implementing Regulation (EU) 2018/1624 of 23 October 2018 laying down implementing technical standards with regard to procedures and standard forms and templates for the provision of information for the purposes of resolution plans for credit institutions and investment firms pursuant to Directive 2014/59/EU of the European Parliament and of the Council, and repealing Commission Implementing Regulation (EU) 2016/1066 BRRD (Bank Recovery and Resolution) 2018 Requested Approved Link
Global Irving Fisher Committee (IFC) and Bank for International Settlements (BIS) Report Central banks and trade repositories derivatives data 2018 Recommended at national/regional level Proposed Link
EU European Security and Markets Authority (ESMA) Final Report Securitisation Regulation technical standards on securitisation repository application requirements, operational standards, and access conditions Securitisation Regulation 2019 Required Proposed Link
EU Commission Implementing Regulation (EU) 2018/1844 of 27 November 2019 amending and correcting Implementing Regulation (EU) 2015/2450 laying down implementing technical standards with regard to the templates for the submission of information to the supervisory authorities in accordance with Directive 2009/13820/EC of the European Parliament and of the Council Solvency II 2019 Required Approved Link
Australia ASIC Corporations (Derivative Transaction Reporting Exemption) Instrument 2015/844 Corporations Act 2015 Required Approved Link
EU COMMISSION IMPLEMENTING REGULATION (EU) 2019/363 of 13 December 2018 laying down implementing technical standards with regard to the format and frequency of reports on the details of securities financing transactions (SFTs) to trade repositories in accordance with Regulation (EU) 2015/2365 of the European Parliament and of the Council and amending Commission Implementing Regulation (EU) No 1247/2012 with regard to the use of reporting codes in the reporting of derivative contracts SFTR (Securities Financing Transactions Regulation) 2019 Required Link
Canada Investment Industry Regulatory Organization of Canada (IIROC) Rules Notice 19-0071, Amendments Respecting Client Identifiers UMIR / DMR 2019 Required Approved Link
Global United Nations (UN) Report of the Inter-agency Task Force on Financing for Development Financing For Sustainable Development Report 2019 2019 Recommended at national/regional level Proposed Link
EU Regulation (EU) 2019/834 of the European Parliament and of the Council of 20 May 2019 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 derivative contracts not cleared by a central counterparty, the registration and supervision of trade repositories and the requirements for trade repositories EMIR 2019 Required Approved Link
EU Money Market Fund Reporting Technical Reporting Instructions MMF (Money Market Fund Regulation) 2020 Required Approved Link
EU Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012 MiFID II/MiFIR 2017 Required Approved Link
Canada Manitoba Securities Commission (MSC) Rule 2016-11 91-507 - Trade Repositories and Derivatives Data Reporting - Amendments Derivatives Act 2016 Required Approved Link
Canada British Columbia Securities Commission (BCSC) National Instrument 24-102 Clearing Agency Requirements Securities Act 2016 Requested Approved Link
Global FSB Letter - To G20 Finance Ministers and Central Bank Governors 2019 Recommended at national/regional level Approved Link
Global OTC Derivatives Market Reforms 2019 Progress Report on Implementation 2019 Recommended at national/regional level Approved Link
EU Commission Delegated Regulation (EU) 2020/1224 of 16 October 2019 supplementing Regulation (EU) 2017/2402 of the European Parliament and of the Council with regard to regulatory technical standards specifying the information and the details of a securitisation to be made available by the originator, sponsor and SSPE Securisation Regulation 2020 Required Approved Link
EU European Securities and Markets Authority (ESMA) Further technical details for the reporting of Securities Financing Transactions (SFTs) as required under the SFT Regulation (SFTR) SFTR (Securities Financing Transactions Regulation) 2019 Required Approved Link
China General administration of customs notice no. 56 of 2017 2018 Requested Approved Link
China Interbank Market Metadata (JR/T 0065-2019) and Interbank Market Information Exchange Protocol (JR/T 0066.1-2019) 2019 Requested Approved Link
China Statistics System of External Financial Asset/Liability and Trading 2019 Requested Approved Link
Saudi Arabia Circular of the Saudi Arabian Monetary Authority of 3 July 2018 \"The importance of obtaining an LEI through any accredited LOUs\" 2018 Approved Link
Global Financial Stability Oversight Council (FSOC) Treasury Annual Report 2018-2019 2019 Recommended at national/regional level Approved Link
US Securities and Exchange Commission (SEC) Amended Form G-32 Electronic Municipal Market Access (EMMA®) 2020 Requested Approved Link
China Guideline on Operation of Securities Accounts Guideline on Operation of Securities Accounts 2018 Requested Approved Link
China Notice on Reporting of Legal Entity Identifiers by Bond Issuers Notice on Reporting of Legal Entity Identifiers by Bond Issuers 2019 Requested Approved Link
EU Guideline (EU) 2020/497 of the European Central Bank of 20 March 2020 on the recording of certain data by national competent authorities in the Register of Institutions and Affiliates Data (ECB/2020/16) prudential supervision of credit institutions 2020 Required Approved Link
Global Enhancing Cross-border PaymentsStage 1 report to the G20 2020 Recommended at national/regional level Approved Link
China Order No. 5[2019] of the People's Bank of China, the National Development and Reform Commission, the Ministry of Finance and the China Securities Regulatory Commission Interim Measures for the Administration of Credit Rating Industry 2019 Required Approved Link
China People’s Bank of China and the State Administration of Foreign Exchange Rules of Administration of Qualified Foreign Institutional Investors Engaging in Securities and Futures Investment 2020 Required Approved Link
India Insurance Regulatory and Development Authority of India, Circular IRDAI/F&A/CIR/MISC/134/06/2020 Legal Entity Identifier (LEI) code Insurance Act 1938 2020 Required Approved Link
US Commodity Futures Trading Commission (CFTC) 17 CFR Parts 45, 46 and 49 CEA (Commodity Exchange Act) 2020 Required Approved Link
India Reserve Bank of India/2020-21/82 Introduction of Legal Entity Identifier for Large Value Transactions in Centralised Payment Systems Payment and Settlement Systems Act  2021 Required Approved Link
EU Commission Implementing Regulation (EU) 2021/453 of 15 March 2021 laying down implementing technical standards for the application of Regulation (EU) No 575/2013 of the European Parliament and of the Council with regard to the specific reporting requirements for market risk CRR (Capital Requirements Regulation) 2021 Required Approved Link
EU Commission implementing Regulation (EU) …/... laying down rules for the application of Directive (EU) 2017/1132 of the European Parliament and of the Council as regards technical specifications and procedures for the system of interconnection of registers and repealing Commission Implementing Regulation (EU) 2020/2244 Company Law Directive 2021 Required Proposed Link
EU Commission Implementing Regulation (EU) 2021/637 of 15 March 2021 laying down implementing technical standards with regard to public disclosures by institutions of the information referred to in Titles II and III of Part Eight of Regulation (EU) No 575/2013 of the European Parliament and of the Council and repealing Commission Implementing Regulation (EU) No 1423/2013, Commission Delegated Regulation (EU) 2015/1555, Commission Implementing Regulation (EU) 2016/200 and Commission Delegated Regulation (EU) 2017/2295 Basel III 2021 Required Approved Link
EU Commission Delegated Regulation (EU) 2020/1224 of 16 October 2019 supplementing Regulation (EU) 2017/2402 of the European Parliament and of the Council with regard to regulatory technical standards specifying the information and the details of a securitisation to be made available by the originator, sponsor and SSPE Securisation Regulation 2021 Required Approved Link
EU Commission Implementing Regulation (EU) 2020/1225 of 29 October 2019 laying down implementing technical standards with regard to the format and standardised templates for making available the information and details of a securitisation by the originator, sponsor and SSPE Securisation Regulation 2021 Required Approved Link
EU Proposal for a Regulation of the European Parliament and the Council on the prevention of the use of the financial system for the purposes of money laundering or terrorist financing AML/CFT 2024 Required Proposed Link
EU Proposal for a Regulation of the European Parliament and the Council on information accompanying transfers of funds and certain crypto-assets AML/CFT 2024 Required Proposed Link
EU European Systemic Risk Board (ESRB) Occasional Paper Series No 18 / September 2021 The benefits of the Legal Entity Identifier for monitoring systemic risk 2021 Recommended at national/regional level Approved Link
EU Commission Delegated Regulation (EU) 2021/1456 of 2 June 2021 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council by specifying the conditions under which the commercial terms for clearing services for OTC derivatives are to be considered to be fair, reasonable, non-discriminatory and transparent EMIR 2022 Requested Approved Link
EU Proposal for a Regulation of the European Parliament and the Council on European green bonds COM/2021/391 final European Green Bonds 2023 Requested Proposed Link
EU Commission Delegated Regulation (EU) 2021/1722 of 18 June 2021 supplementing Directive (EU) 2015/2366 of the European Parliament and of the Council with regard to regulatory technical standards specifying the framework for cooperation and the exchange of information between competent authorities of the home and the host Member States in the context of supervision of payment institutions and electronic money institutions exercising cross-border provision of payment services PSD II (Payment Services) 2021 Required Approved Link
US  17 CFR Parts 15, 17, 18 and 20 (The final rules on Ownership and Control Reports and Forms 102/102S, 40/40S, and 71) Dodd-Frank Wall Street Reform and Consumer Protection Act 2016 Requested Approved Link
US  FFIEC Form 101 - Quarterly Regulatory Capital Reporting for Institutions Subject to the Advanced Capital Adequacy Framework 2016 Requested Approved Link
US  FFIEC Form 102 - Market Risk Regulatory Report for Institutions Subject to the Market Risk Capital Rule 2016 Requested Approved Link
US  FFIEC Form 009/009A - Country Exposure Report/Country Exposure Information Report 2016 Requested Approved Link

截止2022-03-22
来源:GLEIF