Regulatory Timeline

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Fri 30 Sep, 2107

Expiration of an extension of relief from Transaction-Level Requirements for certain non-US SDs using personnel or agents located in the US to arrange, negotiate, or execute a swap – CFTC Letter No. 16-64 (extends CFTC Letter No. 15-48, which extended CFTC Letters No. 14-140, 1474, 14-01 and 13-71). Deadline to submit comments to the CFTC’s request for information pertaining to Project KISS.

Sun 03 Jul, 2022

Deadline for the Commission to submit the Report on article 37 MiFIR on non-discriminatory access to and obligation to licence benchmarks

Fri 03 Sep, 2021

Deadline for the Commission to present a Report on the consolidated tape, in respect of bonds, structured finance products, emission allowances and derivatives (Article 65(2) MiFID II)

Tue 01 Sep, 2020

EMIR |

Phase-in application of initial margin for OTC-derivatives not cleared by a CCP: EUR 8 billion

Fri 03 Jul, 2020

Deadline for the Commission to submit the Report on Article 26 – Obligation to report transactions, the Report on Article 28 – Obligation for systematic internalisers to make public firm quotes in respect of bonds, structured finance products, emision allowances and derivatives and the Reports set out in Article 52(7), (8), (9), (10) and (11) MiFIR

Tue 03 Mar, 2020

Deadline for the Commission to submit the Reports set out in Article 52(1), (4), (5) and (6) MiFIR

Tue 03 Mar, 2020

Deadline for the Commission to present a Report on OTFs, SME growth markets, algorithmic trading and high-frequency algorithmic trading, ban of certain products or practices, administrative and criminal sanctions, position limits and position management, development in prices for pre and post trade transparency data, disclosure of fees, commission and non-monetary benefits in connection with the provision of an investment service (Article 90, MiFID II)

Fri 03 Jan, 2020

MiFIR provisions on non-discriminatory access to and obligation to licence benchmarks start applying (Article 37 (1)(2)(3) MiFIR)

Wed 01 Jan, 2020

Deadline for the Commission to submit a report on the Benchmarks Regulation

Tue 31 Dec, 2019

Basel II – Banks are required to report through the new risk standards by the end of 2019.

Tue 03 Sep, 2019

MiFID II provisions on real time consolidated tape provider start applying, in respect of bonds, structured finance products, emission allowances and derivatives (Article 65(2) MiFID II)

Tue 03 Sep, 2019

Deadline for the Commission to present a Report on the consolidated tape, in respect of shares, depositary receipts, ETFs, certificates and other similar financial instruments (Article 65(1) MiFID II)

Sun 01 Sep, 2019

EMIR |

Phase-in application of initial margin for OTC-derivatives not cleared by a CCP:  EUR 0.75 trillion

Thu 09 May, 2019

EMIR |

Category 4 EMIR Index CDS Clearing obligation begins (5yr. iTraxx Europe Main and Crossover)

Tue 01 Jan, 2019

Key provisions and secondary legislation come into force

Tue 01 Jan, 2019

Deadline for the Commission to submit a report, after consulting ESMA and ACER, assessing the potential impact on energy prices and on the functioning of the energy market as well as the feasibility and the benefits in terms of reducing counterparty and systemic risks and the direct costs of C6 energy derivative contracts being made subject to the clearing obligation, the risk mitigation techniques and their inclusion in calculating the clearing threshold (Article 90 (4) MiFID II)

Tue 01 Jan, 2019

Phase-in implementation of G-SII buffer: 100%

Tue 01 Jan, 2019

SFTR |

Trade reporting requirements for non-financial counterparties start to apply (expected)

Mon 31 Dec, 2018

Deadline for the Commission to publish a report on the application of the SRM Regulation

Fri 21 Dec, 2018

EMIR |

Category 4 EMIR IRS Clearing obligation begins (Basis, Fixed-to-float, FRA and IOS in EUR, GBP, JPY and USD)

Mon 01 Oct, 2018

SFTR |

Trade reporting requirement for insurance and reinsurance firms, UCITS, AIFMs and pension funds start to apply (expected)

Mon 01 Oct, 2018

EMIR |

Effective date for clearing by NFCs

Sat 01 Sep, 2018

EMIR |

Phase-in application of initial margin for OTC-derivatives not cleared by a CCP: EUR 1.5 trillion 

Thu 16 Aug, 2018

EMIR |

Exemption from clearing for pension funds expires.

Sun 01 Jul, 2018

SFTR |

Trade reporting requirements for CCPs and CSDs start to apply (expected)

Fri 01 Jun, 2018

BRRD |

Deadline for the Commission to report on the implementation of BRRD. 129 BRRD

Sun 01 Apr, 2018

SFTR |

Trade reporting requirements for investment firms and credit institutions start to apply (expected)

Fri 09 Feb, 2018

EMIR |

Category 3 EMIR Index CDS Clearing obligation begins (5yr. iTraxx Europe Main and Crossover)

Wed 31 Jan, 2018

Expiration of relief to reporting counterparties clearing swaps through DCOs exempt from registration or CCPs provided relief from the requirement to register as a DCO. The reporting counterparties were granted relief from certain Part 45 reporting obligations. Relief was also granted pertaining to certain data field reporting requirements in Parts 43 and 45 (CFTC Letter No. 16-85)

Wed 03 Jan, 2018

Entry into application of MiFID II / MiFIR

Mon 01 Jan, 2018

BCBS full implementation of leverage ratio

Mon 01 Jan, 2018

Phase-in implementation of G-SII buffer: 75%

Mon 01 Jan, 2018

Start of application of Net Stable Funding Ratio (NSFR) (Projected)

Mon 01 Jan, 2018

Phase-in implementation of Liquidity Coverage Ratio (LCR): 100%

Mon 01 Jan, 2018

US: final rule on Supplementary Leverage Ratio comes into full effect

Mon 01 Jan, 2018

US: phase-in application of Liquidity Coverage Ratio (LCR), for banks with total consolidated assets between $50-250bn 90% 100%

Mon 01 Jan, 2018

Start of application of the Benchmarks Regulation, except for certain articles applying from 30 June 2016 or 3 July 2016 (See article 59)

Sun 31 Dec, 2017

BRRD |

Deadline for EBA to report on simplified obligations for certain institutions, detailed in Article 4(1)(8)(9)(10). 4(7) BRRD

Sun 31 Dec, 2017

European Commission to publish a legislative proposal on commodity trading firms and capital requirements by 31st of December 2017.

Sun 31 Dec, 2017

Expiration of relief providing for the addition of Australia and Mexico to the list of jurisdictions eligible under the alternative compliance framework of Commission regulation 50.52(b)(4)(ii) used to satisfy the Outward-Facing Swaps Condition in the Inter-Affiliate Exemption (CFTC Letter No. 16-84).

Sun 31 Dec, 2017

Expiration of an extension of relief to Eligible Affiliate Counterparties who do not claim the Inter Affiliate Exemption from the trade execution requirement (CFTC Letter No. 16-80) (previously No. 15-62).

Sun 31 Dec, 2017

US SEC Regulation SBSR (Reporting and Dissemination of Security-Based Swap Information) Compliance.

Fri 01 Dec, 2017

Expiration of relief from Parts 45 and 46 for swaps with non-US counterparties that are not guaranteed affiliates, or conduit affiliates, of a US person (CFTC Letter No. 16-79) (previously No. 15-61). Applies to CFTC-registered SDs and MSPs that are non-US persons established under the laws of Australia, Canada, the EU, Japan or Switzerland, and that are not part of an affiliated group in which the ultimate parent entity is a US: SD, MSP, bank, financial holding company or bank holding company.

Thu 30 Nov, 2017

Expiration of relief to Shanghai Clearing House permitting it to clear certain proprietary trades of US clearing members and their affiliates (CFTC Letter No. 16-56). Extension of relief to Shanghai Clearing House allowing it to continue to clear certain swaps subject to mandatory clearing in China for the proprietary trades of its clearing members that are US persons or affiliates of U.S. persons (CFTC Letter No. 17-26).

Wed 15 Nov, 2017

CFTC relief for swap execution facilities from certain audit trail requirements in Commission Regulation 37.205 related to post-trade allocation information (CFTC Letter No. 1568) expires.

Mon 06 Nov, 2017

Extension of relief to swap dealers from certain requirements of the U.S. final rule on margin requirements for uncleared swaps when transacting with counterparties subject to the corresponding EU rules expires (CFTC Letter No. 17-22).

Wed 01 Nov, 2017

EMIR |

Under the revised EMIR technical standards, reporting of EMIR eligible trades becomes applicable.

Tue 26 Sep, 2017

Expiration of relief from submitting certain specified information via New Form 102A (relief period begins September 29, 2016) (CFTC Letter No. 16-32).

Expiration of relief from submitting certain specified information regarding DCM volume threshold accounts via New Form 102B (relief period begins September 29, 2016) (CFTC Letter No. 16-32).

Fri 01 Sep, 2017

EMIR |

Phase-in application of initial margin for OTC-derivatives not cleared by a CCP:  EUR 2.25 trillion 

Fri 01 Sep, 2017

Expiration of an extension of the relief granted under Letter No. 16-03 and 16-33 for “French Reportable Swaps” and “Swiss Reportable Swaps” relating to the masking of counterparty identifying information (CFTC Letter No. 17-16).

Wed 16 Aug, 2017

EMIR |

Three Five year exemption for pension funds from clearing obligation ends (Delayed from 16 August 2015) (2015/1515)

Mon 14 Aug, 2017

Relief from the notice filing requirement under CFTC Regulation 150.4(c) relating to exemption from aggregation of positions (CFTC Letter No. 17-06) expires.

Wed 09 Aug, 2017

EMIR |

Category 2 EMIR Index CDS Clearing obligation begins (5yr. iTraxx Europe Main and Crossover)

Mon 31 Jul, 2017

ESMA to release Q & A on the Packaged Retail and Insurance-based Investments Products Regulation.

Mon 24 Jul, 2017

Extended CFTC order designating the Global Markets Entity Identifier utility (formerly known as the DTCC-SWIFT utility) and other pre-Local Operating Units as acceptable suppliers of approved LEIs expires.

Sat 22 Jul, 2017

AIFMD |

European Commission to start a review on the application and the scope of AIFMD (expected)

Fri 21 Jul, 2017

End of conformance period for banking entities to conform their ownership interests in, and sponsorship of, certain collateralised loan obligations (CLOs)

Thu 13 Jul, 2017

SFTR |

Transparency of collective investment undertakings in pre-contractual documents under SFTR starts applying (See article 14)

Fri 07 Jul, 2017

Deadline for comments to the CFTC’s proposed rule Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants.

Mon 03 Jul, 2017

MiFID II/ MiFIR implementation deadline.

Mon 03 Jul, 2017

BRRD |

Deadline for the Commission to review and report on EBA’s power to conduct binding mediation under articles 13, 18 and 45, taking into account future developments in financial services law.  129 BRRD

Sat 01 Jul, 2017

EMIR |

European Securities and Market Authority to publish standards relating to trading obligations under MiFIR.

Fri 30 Jun, 2017

The EC decides whether to endorse the technical standards proposed for the Regulation on Financial Benchmarks by the European Securities and Markets Authority.

Tue 27 Jun, 2017

Relief to DCOs from the requirement to report continuation data on original swaps accepted for clearing (CFTC Letter No. 16-86) expires.

Wed 21 Jun, 2017

EMIR |

Category 3 EMIR IRS Clearing obligation applies (Basis, Fixed-to-float, FRA and IOS in EUR, GBP, JPY and USD)

Fri 16 Jun, 2017

EMIR |

Scrutiny period on revised Clearing Obligation RTS by the European Parliament ends.  

Thu 15 Jun, 2017

EMIR |

Transitional arrangements under CRR – which permit firms to treat exposures to yet-to-be recognised CCPs as QCCP exposures – expire.

Mon 01 May, 2017

Working Group of the Markets Committee of the BIS releases a single global code of conduct for the FX market (expected)

Sat 01 Apr, 2017

Deadline for ESMA to submit draft RTS and ITS under the Benchmarks Regulation to the Commission

Sat 01 Apr, 2017

SFTR |

RTS on reporting obligations enters into force (expected)

Fri 31 Mar, 2017

FATCA |

Annual Form 8966 reporting

Wed 15 Mar, 2017

FATCA |
  • Annual tax return reporting (Form 1042)
  • Annual information reporting (Forms 1042-s)
  • Reporting of foreign reportable amounts to NPFFIs ends.

Wed 01 Mar, 2017

EMIR |

Phase-in application of variation margin (VM) for OTC-derivatives not cleared by a CCP (all other covered entities). (latest of 1 month after entry into force of regulation and 1 March 2017)

Tue 28 Feb, 2017

FCA Implementation of the Benchmarks Regulation – Consultation Paper (expected)

Tue 21 Feb, 2017

Volcker Rule effective date for entities that were granted two one-year extensions.

Thu 09 Feb, 2017

EMIR |

Category 1 EMIR Index CDS Clearing obligation begins (5yr. iTraxx Europe Main and Crossover)

Sat 04 Feb, 2017

EMIR |

Phase-in application of variation margin (VM) for OTC-derivatives not cleared by a CCP (covered entities belonging to a group whose aggregate month-end average notional amount of non-centrally cleared derivatives exceeds EUR 3.0 trillion). (1 month after entry into force of regulation)

Sat 04 Feb, 2017

EMIR |

Phase-in application of initial margin (IM) for OTC-derivatives not cleared by a CCP (covered entities belonging to a group whose aggregate month-end average notional amount of non-centrally cleared derivatives exceeds EUR 3.0 trillion). (1 month after entry into force of regulation)

Sat 04 Feb, 2017

Phase 1 – Category 1  application of WGMR non-cleared margin rules under EMIR

Fri 13 Jan, 2017

SFTR |

Transparency of collective investment undertakings in periodical reports starts applying under SFTR (See article 13)

Thu 05 Jan, 2017

EMIR |

Entry into force of Commission Implementing Decisions on the equivalence of the regulatory framework of CCPs in New Zealand (2016/2274), India (2016/2269), Japan (2016/2275), Brazil (2016/2276),  United Arab Emirates (2016/2278) and Dubai International Financial Centre (2016/2277)

Thu 05 Jan, 2017

EMIR |

Entry into force of  Commission Implementing Decision (EU) 2016/2271 of 15 December 2016 on the equivalence of financial instrument exchanges and commodity exchanges in Japan in accordance with Regulation (EU) No 648/2012 of the European Parliament and of the Council (Text with EEA relevance ), Commission Implementing Decision (EU) 2016/2270 of 15 December 2016 on the equivalence of approved exchanges in Singapore in accordance with Regulation (EU) No 648/2012 of the European Parliament and of the Council (Text with EEA relevance ), Commission Implementing Decision (EU) 2016/2273 of 15 December 2016 on the equivalence of recognised exchanges in Canada in accordance with Regulation (EU) No 648/2012 of the European Parliament and of the Council (Text with EEA relevance ) and Commission Implementing Decision (EU) 2016/2272 of 15 December 2016 on the equivalence of financial markets in Australia in accordance with Regulation (EU) No 648/2012 of the European Parliament and of the Council (Text with EEA relevance )

Wed 04 Jan, 2017

EMIR |

Entry into force of Commission Delegated Regulation (EU) 2016/2251 of 4 October 2016 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories with regard to regulatory technical standards for risk-mitigation techniques for OTC derivative contracts not cleared by a central counterparty (Text with EEA relevance )

Tue 03 Jan, 2017

Deadline for ESMA to develop guidelines on complex debt instruments and structured deposits under MiFID II (See CP ESMA /2015/610)

Tue 03 Jan, 2017

Deadline for ESMA to develop guidelines for the assessment of knowledge and competence in respect of articles 24 and 25 of  MiFID II (See CP  ESMA/2015/753)

Tue 03 Jan, 2017

Deadline for ESMA to develop guidelines on the application of legal entity identifiers within the Union in line with international standards, in particular those established by the FSB (Article 26(6) on Obligation to report transactions, MiFIR)

Sun 01 Jan, 2017

FATCA |
  • FATCA withholding begins on certain gross proceeds payments to non-compliant accounts
  • FATCA withholding begins on foreign passthru (sic) payment (or 6 months after publication of regulations defining term, whichever is later)
  • For qualified collective investment vehicles, date, by which policies aim to redeem or immobilize bearer interests

Sun 01 Jan, 2017

Phase-in implementation of G-SII buffer: 50%

Sun 01 Jan, 2017

Phase-in implementation of Liquidity Coverage Ratio (LCR): 80%

Sun 01 Jan, 2017

US: phase-in application of Liquidity Coverage Ratio (LCR), for banks with total consolidated assets in excess of $250bn 90%  100%

Sun 01 Jan, 2017

US: phase-in application of Liquidity Coverage Ratio (LCR), for banks with total consolidated assets between $50-250bn 80% 90%

Sun 01 Jan, 2017

BRRD |

Effective date of PRA 3 rd. country contractual stay in respect of non-credit institutions/ non-investment firms

Sun 01 Jan, 2017

UCITS |

Application date of the Guidelines on sound remuneration policies under the UCITS Directive and AIFMD, for UCITS (ESMA/2016/411)

Sun 01 Jan, 2017

AIFMD |

Entry into force of Commission`s delegated act specifying the date when the rules on passporting for non-EU AIFs and AIFMs will be applicable (expected)

Sat 31 Dec, 2016

FATCA |

FDAP Payments by non-intermediaries on offshore obligations included on definition of witholdable payments

Sat 31 Dec, 2016

Metrics reporting requirement threshold lowered to  USD 10 billion in trading assets and liabilities. No metrics reporting requirement for a banking entity that does not engage in activities covered by the Volcker Rule.

Sat 31 Dec, 2016

By end -2016, FSB Resolution Steering Group to report and to develop, as appropriate, develop proposals for further guidance to support CCP resolvability and resolution planning and to enhance prefunded financial resources and liquidity arrangements

Sat 31 Dec, 2016

BRRD |

Deadline for the Commission to submit a legislative proposal on minimum requirements for own funds and eligible liabilities, based on the EBA report required under 45(19). 45(18) BRRD

Sat 31 Dec, 2016

BRRD |

Deadline for the Commission to submit a legislative proposal on the appropriate reference point for setting the target level for resolution financing arrangements, based on the EBA report required under 102(4). 102(5) BRRD

Thu 22 Dec, 2016

Entry into force of 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 (Text with EEA relevance) 

Wed 21 Dec, 2016

EMIR |

Category 2 EMIR IRS clearing obligation applies (Basis, Fixed-to-float, FRA and IOS in EUR, GBP, JPY and USD)

Mon 19 Dec, 2016

EMIR | SFTR |

ESMA publishes Consultation Paper ESMA’s technical advice to the Commission on fees for TRs under SFTR and on certain amendments to the fees under EMIR (ESMA/2016/1672)

Fri 16 Dec, 2016

IOSCO publishes Report on Guidance on the IOSCO Principles for Financial Benchmarks (FR13/2016)

Fri 16 Dec, 2016

ESMA publishes Compliance Table – Guidelines on cross-selling practices (ESMA/2016/574

Thu 15 Dec, 2016

ESMA publishes Consultation paper Draft technical standards on data to be made publicly available by TRs under Article 81 of EMIR, including partial overlap with benchmarks regulation (ESMA/2016/1661)

Tue 13 Dec, 2016

Entry into force of Commission Implementing Regulation (EU) 2016/2227 of 9 December 2016 on the extension of the transitional periods related to own funds requirements for exposures to central counterparties set out in Regulations (EU) No 575/2013 and (EU) No 648/2012 of the European Parliament and of the Council (Text with EEA relevance )

Fri 09 Dec, 2016

Entry into force of Commission Delegated Regulation (EU) 2016/2021 of 2 June 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 access in respect of benchmarks (Text with EEA relevance )

Fri 09 Dec, 2016

Entry into force of 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 (Text with EEA relevance )

Fri 09 Dec, 2016

Entry into force of Commission Delegated Regulation (EU) 2016/2020 of 26 May 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 criteria for determining whether derivatives subject to the clearing obligation should be subject to the trading obligation (Text with EEA relevance )

Wed 07 Dec, 2016

ESMA publishes Compliance Table – Guidelines for the assessment of knowledge and competence (ESMA/2015/1886)

Tue 15 Nov, 2016

EMIR |

ESMA publishes OPINION Common indicators for new products and services under Article 15 and for significant changes under Article 49 of EMIR (ESMA/2016/1574)

Mon 14 Nov, 2016

EMIR |

ESMA publishes Final Report On the clearing obligation for financial counterparties with a limited volume of activity, asking a delay of the clearing obligation for small financial counterparties (ESMA/2016/1565)

Thu 10 Nov, 2016

ESMA publishes Final Report Technical advice under the Benchmarks Regulation (ESMA/2016/1560)

Thu 10 Nov, 2016

ESMA publishes Consultation Paper Draft RTS on package orders for which there is a liquid market  (ESMA/2016/1562)

Tue 01 Nov, 2016

Entry into force of Commission Implementing Regulation (EU) 2016/1801 of 11 October 2016 on laying down implementing technical standards with regard to the mapping of credit assessments of external credit assessment institutions for securitisation in accordance with Regulation (EU) No 575/2013 of the European Parliament and of the Council (Text with EEA relevance)

Tue 01 Nov, 2016

Entry into force of Commission Implementing Regulation (EU) 2016/1799 of 7 October 2016 laying down implementing technical standards with regard to the mapping of credit assessments of external credit assessment institutions for credit risk in accordance with Articles 136(1) and 136(3) of Regulation (EU) No 575/2013 of the European Parliament and of the Council (Text with EEA relevance)

Mon 31 Oct, 2016

BRRD |

Deadline for EBA to report on minimum requirements for own funds and eligible liabilities, covering at least the issues identified in Article 45(19)(a) to (n) BRRD

Mon 31 Oct, 2016

BRRD |

Deadline for EBA to submit a report with recommendations on the appropriate reference point for setting the target level for resolution financing arrangements, and in particular whether total liabilities constitute a more appropriate basis than covered deposits 102(4) BRRD

Mon 31 Oct, 2016

ESMA Final Report on technical advice to the Commission on benchmarks regulation (expected)

Mon 31 Oct, 2016

FCA publishes consultation paper on implementing MiFID II (CP 3, expected autumn 2016)

Wed 19 Oct, 2016

Entry into force of COMMISSION IMPLEMENTING REGULATION (EU) 2016/1702 of 18 August 2016 amending Implementing Regulation (EU) No 680/2014 as regards templates and instructions

Fri 14 Oct, 2016

BRRD |

Entry into force of 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

Fri 14 Oct, 2016

AIFMD |

ESMA publishes Guidelines on sound remuneration policies under the AIFMD (ESMA/2016/579)

Fri 14 Oct, 2016

AIFMD |

ESMA publishes Guidelines Guidelines on sound remuneration policies under the AIFMD (ESMA/2016/579)

Fri 14 Oct, 2016

UCITS |

ESMA publishes Guidelines on sound remuneration policies under the UCITS Directive (ESMA/2016/575)

Thu 13 Oct, 2016

UCITS |

Application date of Commission Delegated Regulation (EU) 2016/438 of 17 December 2015 supplementing CRD IV with regard to obligations of depositaries

Mon 10 Oct, 2016

ESMA publishes Guidelines Transaction reporting, order record keeping and clock synchronisation under MiFID II (ESMA/2016/1452)

Mon 10 Oct, 2016

ESMA publishes Final Report Guidelines on transaction reporting, order record keeping and clock synchronisation under MiFID II (ESMA/2016/1451)

Sun 09 Oct, 2016

EMIR |

Category 1 and 2 EMIR Index CDS Frontloading obligation begins (5yr. iTraxx Europe Main and Crossover)

Sun 09 Oct, 2016

Category 1 and 2 EMIR IRS Frontloading obligation begins (Fixed-to-float / FRAs in NOK, SEK, PLN)

Thu 06 Oct, 2016

ESMA publishes Consultation Paper Guidelines on the calibration, publication and reporting of trading halts (ESMA/2016/1440)

Wed 05 Oct, 2016

ESMA publishes Consultation Paper Guidelines on specific notions under MiFID II related to the management body of market operators and data reporting services providers (ESMA/2016/1437)

Wed 05 Oct, 2016

ESMA publishes Consultation Paper Draft guidelines on MiFID II product governance requirements (ESMA/2016/1436)

Tue 04 Oct, 2016

Entry into force of COMMISSION IMPLEMENTING REGULATION (EU) 2016/1646 of 13 September 2016 laying down implementing technical standards with regard to main indices and recognised exchanges in accordance with CRR

Mon 03 Oct, 2016

ESMA publishes Consultation Paper RTS specifying the scope of the consolidated tape for non-equity financial instruments (ESMA/2016/1422)

Sat 01 Oct, 2016

Joint BCBS, CPMI, FSB and IOSCO study group to finalise and publish report on analysis of interdependencies between CCPs and clearing members

Fri 30 Sep, 2016

SFTR |

ESMA publishes Consultation Paper Draft RTS and ITS under SFTR and amendments to related EMIR RTS (ESMA/2016/1409)

Thu 29 Sep, 2016

ESMA publishes Consultation Paper Draft technical standards under the Benchmarks Regulation (ESMA/2016/1406)

Wed 28 Sep, 2016

EBA publishes Final Report Guidelines on the application of the definition of default under Article 178 of CRR (EBA/GL/2016/07)

Wed 28 Sep, 2016

EBA publishes Final Report Draft Regulatory Technical Standards on the materiality threshold for credit obligations past due under Article 178 of CRR (EBA/RTS/2016/06) and Final Report Guidelines on the application of the definition of default under Article 178 of CRR (EBA/GL/2016/07)

Wed 28 Sep, 2016

EBA publishes Final Report Guidelines on remuneration policies and practices related to the sale and provision of retail banking products and services  (EBA/GL/2016/06)

Fri 23 Sep, 2016

BRRD |

Entry into force of Commission Delegated Regulation (EU) 2016/1450 of 23 May 2016 supplementing BRRD with regard to regulatory technical standards specifying the criteria relating to the methodology for setting the minimum requirement for own funds and eligible liabilities (MREL)

Wed 21 Sep, 2016

ESMA publishes Discussion Paper The trading obligation for derivatives under MiFIR (ESMA/2016/1389)

Mon 12 Sep, 2016

BRRD |

Entry into force of Commission Delegated Regulation (EU) 2016/1401 of 23 May 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 for methodologies and principles on the valuation of liabilities arising from derivatives

Mon 12 Sep, 2016

BRRD |

Entry into force of Commission Delegated Regulation (EU) 2016/1400 of 10 May 2016 supplementing Directive 2014/59/EU of the European Parliament and of the Council with regard to regulatory technical standards specifying the minimum elements of a business reorganisation plan and the minimum contents of the reports on the progress in the implementation of the plan

Fri 09 Sep, 2016

Entry into force of Commission Delegated Regulation (EU) 2016/1608 of 17 May 2016 amending Delegated Regulation (EU) No 1222/2014 with regard to regulatory technical standards for the specification of the methodology for the identification of global systemically important institutions and for the definition of subcategories of global systemically important institutions

Thu 01 Sep, 2016

Entry into force of rules on risk-mitigation techniques for OTC-derivatives not cleared by a CCP, subject to a phase-in period of 4 years (expected) 

Wed 31 Aug, 2016

BRRD |

FCA Implementation of the Recovery and Resolution Directive resulting from supervisory feedback and EBA Guidelines/ Binding Technical Standards – Consultation Paper (expected – summer 2016)

Wed 31 Aug, 2016

BRRD |

Entry into force of Commission Delegated Regulation (EU) 2016/1434 of 14 December 2015 correcting Delegated Regulation (EU) 2015/63 supplementing BRRD with regard to ex ante contributions to resolution financing arrangements

Tue 16 Aug, 2016

CPMI and IOSCO publish Consultative report Resilience and recovery of central counterparties (CCPs): Further guidance on the PFMI

Tue 16 Aug, 2016

CPMI and IOSCO publish Implementation monitoring of PFMI: Level 3 assessment – Report on the financial risk management and recovery practices of 10 derivatives CCPs

Tue 16 Aug, 2016

FSB publishes Discussion Note Essential Aspects of CCP Resolution Planning

Tue 16 Aug, 2016

Joint BCBS, CPMI, FSB and IOSCO study group publishes Progress Report on the CCP Workplan

Mon 15 Aug, 2016

UCITS |

Entry into force of Commission Implementing Regulation (EU) 2016/1212 of 25 July 2016 laying down implementing technical standards with regard to standard procedures and forms for submitting information in accordance with UCITS IV

Sat 13 Aug, 2016

Entry into force of Commission Implementing Regulation (EU) 2016/1368 of 11 August 2016 establishing a list of critical benchmarks used in financial markets pursuant to Regulation (EU) 2016/1011 of the European Parliament and of the Council (Text with EEA relevance)

Tue 09 Aug, 2016

EMIR |

Entry into force of Commission Delegated Regulation (EU) 2016/1178 of 10 June 2016 supplementing EMIR with regard to regulatory technical standards on the IRS clearing obligation (Fixed-to-float / FRAs in NOK, SEK, PLN) (subject to corrigendum)

Wed 03 Aug, 2016

EBA publishes Report on the leverage ratio requirements under Article 511 of the CRR (EBA-Op-2016-13)

Sun 31 Jul, 2016

FCA publishes 2nd consultation paper on implementing MiFID II (CP16/19)

Thu 28 Jul, 2016

BRRD |

Entry into force of Commission Delegated Regulation (EU) 2016/1075 of 23 March 2016 supplementing Directive 2014/59/EU of the European Parltime and of the Council with regard to regulatory technical standards specifying the content of recovery plans, resolution plans and group resolution plans, the minimum criteria that the competent authority is to assess as regards recovery plans and group recovery plans, the conditions for group financial support, the requirements for independent valuers, the contractual recognition of write-down and conversion powers, the procedures and contents of notification requirements and of notice of suspension and the operational functioning of the resolution colleges

Thu 28 Jul, 2016

EU Commission publishes Feedback Statement Summary of responses to the public consultation on the CRD IV remuneration rules and Report Assessment of the remuneration rules under CRD IV and CRR (COM(2016) 510 final)

Tue 26 Jul, 2016

BRRD |

Entry into force of Commission Implementing Regulation (EU) 2016/1066 of 17 June 2016 laying down implementing technical standards with regard to procedures, standard forms and templates for the provision of information for the purpose of resolution plans for credit institutions and investment firms pursuant to BRRD

Tue 26 Jul, 2016

UCITS |

European Commission publishes CONSULTATION DOCUMENT Undertakings for Collective Investment in Transferable Securities (UCITS) Product Rules, Liquidity Management, Depositary, Money Market Funds, Long-term Investments (UCITS VI)

Fri 22 Jul, 2016

FSB’s OSSG publishes a final monitoring report on implementation of benchmark reforms (expected)

Tue 19 Jul, 2016

Entry into force of Regulation (EU) 2016/1014 of the European Parliament and of the Council of 8 June 2016 amending CRR as regards exemptions for commodity dealer

Tue 19 Jul, 2016

UCITS |

ESMA publishes Questions and Answers Application of the UCITS Directive (ESMA/2016/1135)

Mon 18 Jul, 2016

AIFMD |

ESMA publishes advice to the European Parliament, the Council and the Commission on the application of the AIFMD passport to non-EU AIFMs and AIFs (Australia, Bermuda, Canada, Caymand Islands, Guernsey, Hong Kong, Isle of Man, Japan, Jersey, Switzerland, Singapore and the United States) (ESMA/2016/1140) (republished 12 September 2016 with minor corrections)

Fri 15 Jul, 2016

AIFMD | UCITS |

ESMA publishes Call for evidence Asset segregation and custody services under UCITS and AIFMD (ESMA/2016/1137)

Wed 13 Jul, 2016

SFTR |

Requirement to inform in writing and obtain prior express consent for reuse of financial instruments received under a collateral arrangement starts applying under the SFTR (See article 15)

Tue 12 Jul, 2016

Corrigendum of MiFIR published in the OJ (fixing minor issues)

Thu 07 Jul, 2016

BRRD |

Entry into force of Commission Implementing Regulation (EU) 2016/962 of 16 June 2016 laying down implementing technical standards with regard to the uniform formats, templates and definitions for the identification and transmission of information by competent authorities and resolution authorities to the European Banking Authority according to BRRD

Sun 03 Jul, 2016

Deadline for the Commission to submit a Report assessing the need to temporarily exclude ETDs from the scope of article 36 and 26 on non-discriminatory access to a CCP or trading venue under MiFIR (Article 52(2))

Sun 03 Jul, 2016

BRRD |

Deadline for EBA to report on the publication of penalties by Member States on an anonymous basis 112(4) BRRD

Fri 01 Jul, 2016

Entry into force of Directive (EU) 2016/1034 of the European Parliament and of the Council of 23 June 2016 amending MiFID II, delaying the application

Fri 01 Jul, 2016

Entry into force of Regulation (EU) 2016/1033 of the European Parliament and of the Council of 23 June 2016 amending MiFIR, Regulation (EU) No 596/2014 on market abuse and Regulation (EU) No 909/2014 on improving securities settlement in the European Union and on central securities depositories, delaying application of MiFIR

Thu 30 Jun, 2016

Entry into force of the REGULATION (EU) 2016/1011 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 8 June 2016 on indices used as benchmarks in financial instruments and financial contracts or to measure the performance of investment funds and amending Directives 2008/48/EC and 2014/17/EU and Regulation (EU) No 596/2014

Thu 30 Jun, 2016

FCA publishes Policy Statement (rules) on implementation of MiFID II (expected)

Thu 30 Jun, 2016

BRRD |

Entry into force of Commission Implementing Regulation (EU) 2016/911 of 9 June 2016 laying down implementing technical standards with regard to the form and the content of the description of group financial support agreements in accordance with 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

Tue 21 Jun, 2016

EMIR |

Category 1 EMIR IRS Clearing obligation begins (Basis, Fixed-to-float, FRA and IOS in EUR, GBP, JPY and USD)

Tue 21 Jun, 2016

BRRD |

Entry into force of Commission Delegated Regulation (EU) 2016/860 of 4 February 2016 specifying further the circumstances where exclusion from the application of write-down or conversion powers is necessary under Article 44(3) of 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

Wed 15 Jun, 2016

EMIR |

Entry into force of RTS 2016/822, amending RTS 153/2013 as regards the time horizons for the liquidation period to be considered for the different classes of financial instruments

Wed 15 Jun, 2016

Entry into force of Commission Implementing Regulation (EU) 2016/824 of 25 May 2016 laying down implementing technical standards with regard to the content and format of the description of the functioning of multilateral trading facilities and organised trading facilities and the notification to the European Securities and Markets Authority according to MiFID II (2016/824)

Tue 14 Jun, 2016

End of transitional deadline, according to which a CCP who filed an application for authorisation under EMIR was considered a QCCP (originally 15 June 2014, delayed to 15 December 2014, then to 15 June 2015, 15 December 2015 and 14 June 2016)

Mon 13 Jun, 2016

EBA publishes final draft Regulatory Technical Standards on Assigning Risk Weights to Specialised Lending Exposures under Article 153(9) of CRR (EBA/RTS/2016/02)

Thu 09 Jun, 2016

BRRD |

Entry into force of Commission Delegated Regulation (EU) 2016/778 of 2 February 2016 supplementing Directive 2014/59/EU of the European Parliament and of the Council with regard to the circumstances and conditions under which the payment of extraordinary ex post contributions may be partially or entirely deferred, and on the criteria for the determination of the activities, services and operations with regard to critical functions, and for the determination of the business lines and associated services with regard to core business lines

Tue 07 Jun, 2016

EBA Consultation Paper on Draft Implementing Technical Standards on Supervisory reporting requirements for liquidity coverage and stable funding (EBA/CP/2012/05)

Fri 03 Jun, 2016

EBA publishes Guidelines Limits on exposures to shadow banking entities which carry out banking activities outside a regulated framework under Article 395(2) of CRR (EBA/GL/2015/20)

Fri 03 Jun, 2016

AIFMD |

ESMA publishes Questions and Answers Application of the AIFMD (ESMA/2016/909)

Thu 02 Jun, 2016

Entry into force of Commission Delegated Regulation (EU) 2016/861 of 18 February 2016 correcting Commission Delegated Regulation (EU) No 528/2014 supplementing CRR with regard to regulatory technical standards for non-delta risk of options in the standardised market risk approach and correcting Commission Delegated Regulation (EU) No 604/2014 supplementing CRD IV with regard to regulatory technical standards with respect to qualitative and appropriate quantitative criteria to identify categories of staff whose professional activities have a material impact on an institution’s risk profile

Thu 02 Jun, 2016

Entry into force of Commission Delegated Regulation (EU) 2016/709 of 26 January 2016 supplementing CRR with regard to regulatory technical standards specifying the conditions for the application of the derogations concerning currencies with constraints on the availability of liquid assets

Wed 01 Jun, 2016

Market Abuse Directive 2 entry into force and repeal of MAD 1

Wed 01 Jun, 2016

Full implementation update of the UK Fair and Effective Markets Review on Fixed Income, Currency and Commodities (FICC) markets (expected)

Wed 01 Jun, 2016

Mid-2016: CPMI-IOSCO to publish a report for public consultation on CCP resilience and recovery issues and report of the Level 3 assessment of CCP risk management

Wed 01 Jun, 2016

BRRD |

Effective date of PRA 3 rd. country contractual stay in respect of credit institutions/investment firms

Mon 30 May, 2016

ESMA publishes Opinion on revised RTS: Draft Regulatory Technical Standard on criteria for establishing when an activity is to be considered ancillary to the main business (ESMA/2016/730)

Fri 27 May, 2016

ESMA publishes Consultation Paper on Draft technical advice under the Benchmarks Regulation (ESMA/2016/723)

Thu 26 May, 2016

ESMA publishes Final Report Draft regulatory technical standards on indirect clearing arrangements under EMIR and MiFIR (ESMA/2016/725)

Thu 26 May, 2016

Entry into force of Commission Implementing Regulation (EU) 2016/818 of 17 May 2016 amending Implementing Regulation (EU) No 1030/2014 laying down implementing technical standards with regard to the uniform formats and date for the disclosure of the values used to identify global systemically important institutions according to CRR

Thu 26 May, 2016

European Commission DG FISMA publishes consultation paper on further considerations for the implementation of the NSFR in the EU

Thu 26 May, 2016

European Commission DG FISMA publishes consultation document proportionality in the future market risk capital requirements and the review of the original exposure method

Sat 21 May, 2016

EMIR |

Category 2 EMIR IRS Frontloading obligation begins (Basis, Fixed-to-float, FRA and IOS in EUR, GBP, JPY and USD)

Tue 17 May, 2016

EBA publishes Decision confirming that the unsolicited credit assessments of certain ECAIs do not differ in quality from their solicited credit assessments (EBA/DC/2016/151) and Report

Wed 11 May, 2016

ESAs publish Opinion on the Commission’s intention to amend the draft implementing technical standards on the mapping of ECAIs’ credit assessments under Article 136(1) and (3) of CRR, and under Article 109a(1) of Solvency II (ESAs 2016 041)

Wed 11 May, 2016

EBA publishes Consultation Paper Draft Guidelines on LCR disclosure to complement the disclosure of liquidity risk management under Article 435 of CRR (EBA/CP/2016/06)

Tue 10 May, 2016

BRRD |

Commission publishes RTS specifying the minimum elements of a business reorganisation plan and the minimum contents of the reports on the progress in the implementation of the plan (C(2016) 2665)

Mon 09 May, 2016

EMIR |

CDS Clearing comes into force- Regulation (EU) 2016/592. 5yr. iTraxx Europe Main and Crossover

Wed 04 May, 2016

ESMA publishes Final Report Amendment of ESMA draft regulatory technical standards on reporting obligations under Article 26 of MiFIR (ESMA/2016/653)

Tue 03 May, 2016

EBA publishes Opinion on the Commission’s intention not to endorse the draft Regulatory Technical Standards on additional collateral outflows according to Article 423(3) CRR (EBA/Op/2016/08)

Mon 02 May, 2016

ESMA publishes two Opinions on revised RTS: Draft Regulatory Technical Standards on methodology for calculation and the application of position limits for commodity derivatives traded on trading venues and economically equivalent OTC contracts (ESMA/2016/668) and Draft Regulatory Technical Standards on transparency requirements in respect of bonds, structured finance products, emission allowances and derivatives under MiFIR  (ESMA/2016/666)

Sat 30 Apr, 2016

Metrics reporting requirement threshold lowered to  USD 25 billion in trading assets and liabilities.

Sat 30 Apr, 2016

Bank of England publishes further consultation on detailed plans to reform SONIA (Expected, Q2)

Tue 26 Apr, 2016

European Commission publishes Call for advice to the EBA for the purpose of revising the large exposure framework as part of the CRR review (Ref. Ares(2016)1982720)

Mon 25 Apr, 2016

EBA publishes Consultation Paper Draft Regulatory Technical Standards on disclosure of encumbered and unencumbered assets under Article 443 of the CRR (EBA/CP/2016/05)

Thu 21 Apr, 2016

European Commission DG FISMA publishes Call for advice to the EBA to assist the Commission’s implementation of the standardised approach for counterparty credit risk under the CRR review (Ref. Ares(2016)1900009)

Wed 20 Apr, 2016

Entry into force of Commission Implementing Regulation (EU) 2016/428 of 23 March 2016 amending Implementing Regulation (EU) No 680/2014 laying down implementing technical standards with regard to supervisory reporting of institutions as regards the reporting of the Leverage Ratio (application from 10 October 2016)

Tue 19 Apr, 2016

BRRD |

EBA publishes Final Report Guidelines on the provision of information in summary or collective form the purposes of Article 84(3) of BRRD (EBA/GL/2016/03)

Tue 19 Apr, 2016

Entry into force of Commission Delegated Regulation (EU) 2016/451 of 16 December 2015 laying down general principles and criteria for the investment strategy and rules for the administration of the Single Resolution Fund

Wed 13 Apr, 2016

UCITS |

Entry into force of Commission Delegated Regulation (EU) 2016/438 of 17 December 2015 supplementing CRD IV with regard to obligations of depositaries

Tue 12 Apr, 2016

EBA publishes Report on securitisation risk retention, due diligence and disclosure under article 410(1) of the CRR (EBA-Op-2016-06)

Wed 06 Apr, 2016

EBA publishes Consultation Paper Draft Regulatory Technical Standards for determining proxy spread and limited smaller portfolios for credit valuation adjustment under Article 383(7) of CRR (EBA/CP/2016/04)

Tue 05 Apr, 2016

EMIR |

Entry into force of EC equivalence decision on the US regulatory framework (CFTC) for CCPs (2016/377)

Tue 05 Apr, 2016

EMIR |

ESMA publishes Final report Draft technical standards on access to data and aggregation and comparison of data across TR under Article 81 of EMIR (ESMA/2016/422)

Mon 04 Apr, 2016

EMIR |

ESMA publishes Final Report Review of Article 26 of RTS No 153/2013 with respect to MPOR for client accounts (ESMA/2016/429)

Mon 04 Apr, 2016

ESMA publishes Final Report Risk Assessment On the temporary exclusion of ETD from Articles 35 and 36 of MiFIR. ETD will not be exempted. (ESMA/2016/461)

Thu 31 Mar, 2016

FATCA |

Annual 8966 reporting

Thu 31 Mar, 2016

AIFMD | UCITS |

ESMA publishes Final report Guidelines on sound remuneration policies under the UCITS Directive and AIFMD (ESMA/2016/411)

Thu 31 Mar, 2016

AIFMD | UCITS |

ESMA writes to the European Commission, European Council and European Parliament on the proportionality principle and remuneration rules in the financial sector, in relation to UCITS and AIFMD (ESMA/2016/412)

Wed 30 Mar, 2016

Entry into force of Commission Implementing Regulation (EU) 2016/322 of 10 February 2016 amending Implementing Regulation (EU) No 680/2014 laying down implementing technical standards with regard to supervisory reporting of institutions of the liquidity coverage requirement (application from 10 September 2016)

Fri 25 Mar, 2016

Entry into force of Commission Implementing Regulation (EU) 2016/313 of 1 March 2016 amending Implementing Regulation (EU) No 680/2014 with regard to additional monitoring metrics for liquidity reporting

Wed 23 Mar, 2016

BRRD |

Commission adopts Delegation Regulation with regard to RTS specifying the content of recovery plans, resolution plans and group resolution plans, the minimum criteria that the competent authority is to assess as regards recovery plans and group recovery plans, the conditions for group financial support, the requirements for independent valuers, the contractual recognition of write-down and conversion powers, the procedures and contents of notification requirements and of notice of suspension and the operational functioning of the resolution colleges. (C(2016) 1691)

Wed 23 Mar, 2016

EBA publishes Report on SMEs and SME supporting factor (EBA/OP/2016/04)

Tue 22 Mar, 2016

EBA publishes Consultation Paper Guidelines on corrections to modified duration for debt instruments under Article 340(3) of CRR (EBA/CP/2016/03)

Fri 18 Mar, 2016

Deadline to transpose the UCITS V Directive into national law

Fri 18 Mar, 2016

Compliance date of SEC Final Rule on Security-based Swap Data Repository Registration, Duties and Core Principles

Fri 18 Mar, 2016

BRRD |

Commission adopts Delegation Regulation on classes of arrangements to be protected in a partial property transfer under BRRD (C(2016) 1372)

Fri 18 Mar, 2016

UCITS |

Deadline for Member States to transpose UCITS V

Fri 11 Mar, 2016

SFTR |

ESMA publishes Discussion Paper on Draft RTS and ITS under SFTR (ESMA/2016/356)

Wed 09 Mar, 2016

Entry into force of Commission Implementing Decision (EU) 2016/230 of 17 February 2016 amending Implementing Decision 2014/908/EU as regards the lists of third countries and territories whose supervisory and regulatory requirements are considered equivalent for the purposes of the treatment of exposures according to CRR

Tue 08 Mar, 2016

Deadline for feedback on FCA main consultation paper on implementing MiFID II, Conduct & Markets

Tue 08 Mar, 2016

EBA publishes final draft Implementing Technical Standards Amending Commission Implementing Regulation (EU) No 680/2014 laying down implementing technical standards with regard to supervisory reporting of institutions according to CRR of the European Parliament and of the Council (EBA/ITS/2016/03)

Fri 04 Mar, 2016

EBA publishes Consultation Paper Draft Implementing Technical Standards amending Commission Implementing Regulation (EU) 680/2014 on supervisory reporting of institutions (EBA/CP/2016/02)

Tue 01 Mar, 2016

EMIR |

ESMA publishes Final report on Possible systemic risk and cost implications of interoperability arrangements (ESMA/2016/328)

Mon 29 Feb, 2016

FATCA |

Due date for Responsible Officer due diligence certification

Mon 29 Feb, 2016

EBA publishes Final Guidelines Revised guidelines on the further specification of the indicators of global systemic importance and their disclosure (EBA/GL/2016/01)

Sat 27 Feb, 2016

UCITS |

Corrigendum to UCITS V published in the OJ (Corrigendum to Directive 2014/91/EU of the European Parliament and of the Council of 23 July 2014 amending Directive 2009/65/EC on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) as regards depositary functions, remuneration policies and sanctions)

Fri 26 Feb, 2016

Second review by IOSCO of the implementation of the principles on financial benchmarks for Euribor, Libor and Tibor (originally scheduled for June 2015)

Sun 21 Feb, 2016

EMIR |

Category 1 EMIR IRS Frontloading obligation begins (Basis, Fixed-to-float, FRA and IOS in EUR, GBP, JPY and USD)

Wed 17 Feb, 2016

Entry into force of Commission Implementing Regulation (EU) 2016/100 of 16 October 2015 laying down implementing technical standards specifying the joint decision process with regard to the application for certain prudential permissions pursuant to CRR

Wed 17 Feb, 2016

Entry into force of Commission Delegated Regulation (EU) 2016/101 of 26 October 2015 supplementing CRR with regard to regulatory technical standards for prudent valuation under Article 105(14)

Wed 17 Feb, 2016

Entry into force of Commission Implementing Regulation (EU) 2016/200 of 15 February 2016 laying down implementing technical standards with regard to disclosure of the leverage ratio for institutions, according to CRR

Wed 17 Feb, 2016

Entry into force Commission Delegated Regulation (EU) 2016/98 of 16 October 2015 supplementing CRD IV with regard to regulatory technical standards for specifying the general conditions for the functioning of colleges of supervisors

Wed 17 Feb, 2016

Entry into force of Commission Implementing Regulation (EU) 2016/99 of 16 October 2015 laying down implementing technical standards with regard to determining the operational functioning of the colleges of supervisors according to CRD IV

Mon 15 Feb, 2016

ESMA publishes Discussion Paper on Benchmark Regulation (ESMA/2016/288)

Mon 15 Feb, 2016

EBA publishes final draft Implementing Technical Standards on the mapping of ECAIs’ credit assessments for securitisation positions under Article 270 of CRR (EBA/ITS/2016/02)

Fri 12 Feb, 2016

Expiry of CFTC “MAT/Non-MAT (Uncleared), MAT/Non-Swap Instruments and MAT/Non-CFTC Swap”  time-limited no-action relief for counterparties, SEFs and DCMs (SEF or DCM to offer any method of execution, SEF or DCM to offer an Order Book) (Letter no. 14-137)

Fri 12 Feb, 2016

Expiry of CFTC “MAT/New Issuance Bond” time-limited no-action relief for counterparties, SEFs and DCMs (execution on a SEF or DCM, SEF or DCM to offer any method of execution, SEF or DCM to offer an Order Book) (Letter no. 14-137) 

Thu 11 Feb, 2016

Expiry of CFTC time-limited no-action relief from “E-reporting via New Form 40/40S and New Form 71”, for the Ownership and Control Reports (OCR) data reporting requirements. (Letter 14-95)

 

Thu 11 Feb, 2016

The Commission sends a mandate to ESMA for technical advice on possible delegated acts (see Cover note and Request)

Thu 04 Feb, 2016

BRRD |

Commission adopts Delegated Regulation specifying further the circumstances where exclusion from the application of write-down or conversion powers is necessary under BRRD (C(2016) 379)

Tue 02 Feb, 2016

BRRD |

Commission adopts Delegated Regulation with regard to the circumstances and conditions under which the payment of extraordinary ex-post contributions may be partially or entirely deferred, and on the criteria for the determination of the activities, services and operations with regard to critical functions, and for the determination of the business lines and associated services with regard to core business lines (C(2016) 424)

Thu 28 Jan, 2016

ESMA publishes Opinion Draft Implementing Technical Standards on main indices and recognised exchanges under the CRR (ESMA/2016/163)

Tue 26 Jan, 2016

European Commission publishes Report on the review of the appropriateness of the definition of “eligible capital” pursuant to Article 517 of CRR (COM(2016) 21 final)

Wed 20 Jan, 2016

EBA publishes Consultation Paper Draft Guidelines on implicit support under Article 248(2) of CRR (EBA/CP/2016/01)

Mon 18 Jan, 2016

EMIR |

ESRB publishes Report to the European Commission on the systemic risk implications of CCP interoperability arrangements under EMIR

Wed 13 Jan, 2016

Requirements regarding pre-contractual disclosure  by UCITS and AIFS take effect

Wed 13 Jan, 2016

Requirements regarding periodic reporting by UCITS and AIFMs as to their use of SFTs and TRS take effect

Wed 13 Jan, 2016

ESMA ITS due on the details, format and frequency of SFT transaction reports

Wed 13 Jan, 2016

EBA publishes Final Report Final draft implementing technical standards amending the Commission Implementing Regulation (EU) No 1030/2014 on the uniform formats and date for the disclosure of the values used to identify global systemically important institutions (EBA/ITS/2016/01)

Wed 13 Jan, 2016

EBA publishes Final Report final draft regulatory technical standards amending Commission Delegated Regulation (EU) No 1222/2014 on the specification of the methodology for the identification of global systemically important institutions (G-SIIs) (EBA/RTS/2016/01)

Tue 12 Jan, 2016

SFTR |

Entry into force of SFTR

Tue 12 Jan, 2016

SFTR entry into force

Tue 12 Jan, 2016

SFTR |

SFTR starts applying, except certain articles (See article 33)

Wed 06 Jan, 2016

European Commission publishes Report on the effect of the revised International Accounting Standard (IAS) 19 on the volatility of own funds of credit institutions and investment firms (COM(2015) 685 final)

Tue 05 Jan, 2016

Entry into force of Commission Implementing Regulation (EU) 2015/2344 of 15 December 2015 laying down implementing technical standards with regard to currencies with constraints on the availability of liquid assets in accordance with CRR

Fri 01 Jan, 2016

Target Launch Date for EU FTT

Fri 01 Jan, 2016

BRRD |

Deadline for applying the provisions on the bail-in tool

Fri 01 Jan, 2016

Entry into force of Intergovernmental Agreement on SRF, an essential part of the SRM (8457/14, and related press release)

Fri 01 Jan, 2016

BCBS Principles for Effective Risk Data Aggregation and Risk Reporting for SIBs to be made mandatory by national banking supervisors

Fri 01 Jan, 2016

The remaining provisions of the SRM Regulation will apply

Fri 01 Jan, 2016

Start of application of provisions on stable funding of long term obligations (CRR)

Fri 01 Jan, 2016

Start of application of provisions on capital buffers, to the exception of systemic buffer (which applied from 31 December 2013) Phase-in implementation of G-SII buffer: 25% in 2016, 50% in 2017, 75% in 2018 and 100% in 2019.

Fri 01 Jan, 2016

Phase-in implementation of G-SII buffer: 25%

Fri 01 Jan, 2016

Phase-in implementation of Liquidity Coverage Ratio (LCR): 70%

Fri 01 Jan, 2016

US: phase-in application of Liquidity Coverage Ratio (LCR), for banks with total consolidated assets in excess of $250bn 80%  90%

Fri 01 Jan, 2016

US: phase-in application of Liquidity Coverage Ratio (LCR), for banks with total consolidated assets between $50-250bn 80%

Fri 01 Jan, 2016

BRRD |

Q1 Projected imposition  of exemption stay for repo and securities

Fri 01 Jan, 2016

Deadline for CCPs to comply with minimum set of quantitative disclosures (non-binding)  CPMI-IOSCO Public quantitative disclosure standards for central counterparties

Thu 31 Dec, 2015

FATCA |
  • Deadline for FFIs to complete remediation on pre-existing accounts, other than Prima Facie FFIs and high-value accounts.
  • Final date for FFIs to qualify for Limited Branch & Limited FFI Status

Thu 31 Dec, 2015

ICE Benchmark Administration will have publicly consulted on changes to LIBOR (expected)

Thu 31 Dec, 2015

By end 2015 FSB Resolution Steering Group to establish a working group (Cross-border Crisis Management Group for FMIs – fmiCBCM) as a forum for authorities to exchange views, share experiences and discuss orderly resolution of CCPs

Thu 31 Dec, 2015

Certain draft ITS and RTS relating to consumer protection issues will be published by ESMA (expected)

Thu 31 Dec, 2015

BRRD |

Deadline for the Commission to report on whether there is a continuing need for allowing support measures taking the form of injection of own funds or purchase of capital instruments, and provide legislative proposal if appropriate. 32(4) BRRD

Thu 31 Dec, 2015

Deadline for the Commission to publish a report on the application of the SSM Regulation

Wed 23 Dec, 2015

BRRD |

ESMA publishes CP on Guidelines on transaction reporting, reference data, order record keeping & clock synchronisation (ESMA/2015/1909)

Wed 23 Dec, 2015

ESMA publishes Consultation Paper Guidelines on transaction reporting, reference data, order record keeping & clock synchronisation (ESMA/2015/1909)

Tue 22 Dec, 2015

EBA publishes Consultation Paper Draft Guidelines on remuneration policies and practices related to the sale and provision of retail banking products and services (EBA/CP/2015/29)

Mon 21 Dec, 2015

EBA publishes Final Report Guidelines on sound remuneration policies under Articles 74(3) and 75(2) of CRD IV and disclosures under Article 450 of CRR (EBA/GL/2015/22)

Fri 18 Dec, 2015

EBA publishes Consultation Paper Draft Guidelines on stress testing and supervisory stress testing (EBA/CP/2016/28)

Fri 18 Dec, 2015

Entry into force of Commission Implementing Regulation (EU) 2015/2197 of 27 November 2015 laying down implementing technical standards with regard to closely correlated currencies in accordance with CRR

Fri 18 Dec, 2015

European Commission publishes Summary of the responses to the public consultation on the potential impact of CRR and CRD IV on the financing of the economy

Thu 17 Dec, 2015

ESMA publishes Final Report Guidelines for the assessment of knowledge and competence (ESMA/2015/1886)

Thu 17 Dec, 2015

BRRD |

EBA publishes Final Report Draft RTS on the valuation of derivatives pursuant to Article 49(4) BRRD (EBA/RTS/2015/11)

Thu 17 Dec, 2015

BRRD |

EBA publishes Final Report Draft RTS and Guidelines on business reorganisation plans under BRRD (EBA/RTS/2015/12)

Thu 17 Dec, 2015

BRRD |

EBA publishes Final Report Draft RTS on 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 (Article 71(8) BRRD) (EBA/RTS/2015/13)

Wed 16 Dec, 2015

European Commission Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending CRR as regards exemptions for commodity dealers (COM(2015) 648 final)

Tue 15 Dec, 2015

FATCA |
  • Annual tax return reporting (Form 1042)
  • Annual information reporting (Form 1042-s)
  • Reporting foreign reportable amounts to NPFFIs begins

Tue 15 Dec, 2015

FCA publishes main consultation paper on implementing MiFID II, Conduct & Markets. CP15/43: Markets in Financial Instruments Directive II Implementation – Consultation Paper I

Tue 15 Dec, 2015

EBA publishes Report On Net Stable Funding Requirements under Article 510 of the CRR (EBA/Op/2015/22)

Mon 14 Dec, 2015

EMIR |

ESMA publishes CP on Review of Article 26 of RTS No 153/2013 with respect to MPOR for client accounts under EMIR (ESMA/2015/1867)

Mon 14 Dec, 2015

ICE Benchmark Administration Limited publishes Feedback Statement on the evolution of ICE LIBOR

 

Mon 14 Dec, 2015

EBA publishes Consultation Paper Draft Regulatory Technical Standards on the specification of the assessment methodology for competent authorities regarding compliance of an institution with the requirements to use internal models for market risk and assessment of significant share under Article 363(4)(b) and (c) of CRR (EBA/CP/2015/27)

Mon 14 Dec, 2015

EBA publishes Report on investment firms responses to the Commission`s call for advice of December 2014  (EBA/Op/2015/20)

Fri 11 Dec, 2015

ESMA publishes Final Report Draft implementing technical standards under MiFID II (ESMA/2015/1858)

Fri 11 Dec, 2015

EMIR |

ESMA publishes CP on Draft RTS on access to data and aggregation and comparison of data across TR under Article 81 of EMIR (ESMA/2015/1866)

Fri 11 Dec, 2015

EBA publishes Consultation Paper Guidelines on ICAAP and ILAAP information collected for SREP purposes (EBA/CP/2015/26)

Fri 11 Dec, 2015

EBA publishes Consultation Paper Guidelines on ICAAP and ILAAP information collected for SREP purposes (EBA/CP/2015/26)

Thu 10 Dec, 2015

EBA publishes Opinion of the European Banking Authority on cooperation with third countries – Article 161(7) CRD IV (EBA/Op/2015/19)

Tue 08 Dec, 2015

BRRD |

Tue 08 Dec, 2015

BRRD |

EBA publishes Guidelines specifying the conditions for group financial support under Article 23 BRRD (EBA/GL/2015/17)

Tue 08 Dec, 2015

EBA publishes Consultation Paper Draft Implementing Technical Standards amending Commission Implementing Regulation (EU) 680/2014 on supervisory reporting of institutions with regard to financial reporting (FINREP) following the changes in the International Accounting Standards (IFRS 9) (EBA/CP/2015/23)

Wed 02 Dec, 2015

EBA publishes Report on the publication of administrative penalties on an anonymous basis (EBA/Op/2015/18)

Tue 01 Dec, 2015

Expiry of CFTC “SDR Reporting Rules” time-limited no-action relief for certain SDs and MSPs established under the laws of Australia, Canada, the European Union, Japan or Switzerland. 1 December 2015 at the latest, or 30 days following a comparability determination by the CFTC (Letter no. 14-141).

Tue 01 Dec, 2015

EMIR |

Publication in the OJ of the RTS on central clearing of interest rate derivatives under Article 5(2) EMIR (Basis, Fixed-to-float, FRA and IOS in EUR, GBP, JPY and USD) (2015/2205)

Tue 01 Dec, 2015

BRRD |

Entry into force of Commission Delegated Regulation (EU) 2015/63 of 21 October 2014 supplementing BRRD with regard to ex ante contributions to resolution financing arrangements

Thu 26 Nov, 2015

ESMA publishes Final Report Guidelines on complex debt instruments and structured deposits (ESMA/2015/1783)

Thu 26 Nov, 2015

ESRB response to the consultation on the Net Stable Funding Ratio as mandated by Article 510 CRR (ESRB/2015/0187)

Wed 18 Nov, 2015

EBA publishes Consultation Paper Draft Regulatory Technical Standards on the specification of the additional objective criteria referred to in Articles 29 (2) and 34 (2) of Commission Delegated Regulation (EU) No 2015/61 [the delegated act specifying the liquidity coverage ratio for credit institutions, pursuant to Article 460 of CRR] under Article 422 (10) and 425(6) of CRR (EBA/CP/2015/22)

Wed 18 Nov, 2015

SFTR |

FSB publishes Transforming Shadow Banking into Resilient Market-based Finance, Standards and processes for global securities financing data collection and aggregation

Sat 14 Nov, 2015

Expiry of CFTC “MAT/Futures” time-limited no-action relief for counterparties, SEFs and DCMs (execution on a SEF or DCM, SEF or DCM to offer any method of execution, SEF or DCM to offer an Order Book) (Letter no. 14-137)

Fri 13 Nov, 2015

EMIR |

ESMA publishes Final Report Review of the RTS and ITS on reporting under Article 9 of EMIR (ESMA/2015/1645)

Fri 13 Nov, 2015

EMIR |

European Commission adopts ‘equivalence’ decisions (implementing acts) for the regulatory regimes of CCPs in Canada (2015/2040), Mexico (2015/2041), South Africa (2015/2039), Switzerland (2015/2042) and Republic of Korea (2015/2038)

Thu 12 Nov, 2015

EBA publishes Consultation Paper Guidelines on the treatment of CVA risk under the supervisory review and evaluation process (SREP) (EBA/CP/2015/21)

Wed 11 Nov, 2015

ESAs publish joint final draft Implementing Technical Standards on the mapping of ECAIs’ credit assessment under Article 136(1) and (3) of CRR (JC 2015 067)

Tue 10 Nov, 2015

EMIR |

ESMA publishes Final Report Draft RTS on the Clearing Obligation – Interest rate OTC Derivatives in additional currencies (ESMA/2015/1629)

Tue 10 Nov, 2015

EBA publishes Consultation Paper Draft Implementing Technical Standards on common procedures, forms and templates for the consultation process between the relevant competent authorities as referred to in Article 24 of CRD IV (EBA/CP/2015/20)

Thu 05 Nov, 2015

ESMA publishes CP on Indirect clearing arrangements under EMIR and MiFIR (ESMA/2015/1628)

Wed 28 Oct, 2015

Entry into force of Commission Delegated Regulation (EU) 2015/1798 of 2 July 2015 correcting Delegated Regulation (EU) No 625/2014 supplementing CRR by way of regulatory technical standards specifying the requirements for investor, sponsor, original lenders and originator institutions relating to exposures to transferred credit risk

Tue 27 Oct, 2015

BRRD |

EBA publishes CP on Guidelines on the provision of information in summary or collective form for the purposes of Article 84(3) BRRD (EBA/CP/2015/18)

Thu 22 Oct, 2015

U.S. prudential regulators issue joint final rules governing VM and IM requirements for non-centrally cleared derivatives

Tue 20 Oct, 2015

European Commission publishes Report on Article 503 of CRR for covered bonds (COM(2015) 509 final)

Mon 19 Oct, 2015

FCA hosts MiFID II Wholesale Firms Conference

Fri 09 Oct, 2015

Entry into force of Commission Delegated Regulation (EU) 2015/1555 of 28 May 2015 supplementing CRR with regard to regulatory technical standards for the disclosure of information in relation to the compliance of institutions with the requirement for a countercyclical capital buffer in accordance with Article 440 (application from 1 January 2016)

Fri 09 Oct, 2015

Entry into force of Commission Delegated Regulation (EU) 2015/1556 of 11 June 2015 supplementing CRR with regard to regulatory technical standards for the transitional treatment of equity exposures under the IRB approach

Mon 05 Oct, 2015

ESMA publishes letter on the two RTS for indirect clearing under EMIR and MiFIR, to be subject of a joint consultation (ESMA/2015/1498)

Mon 05 Oct, 2015

EBA publishes Opinion of the European Banking Authority on Mortgage Lending Value (MLV) (EBA/Op/2015/17)

Thu 01 Oct, 2015

Phase-in implementation of Liquidity Coverage Ratio (LCR): 60%

Thu 01 Oct, 2015

EMIR |

ESMA releases technical advice to the Commission on the review of EMIR (Expected)

Mon 28 Sep, 2015

ESMA publishes Final Report on Draft Regulatory and Implementing Technical Standards on MiFID II/MiFIR (ESMA/2015/1464)

Wed 23 Sep, 2015

EBA publishes Opinion of the European Banking Authority on the Commission intention to amend draft Implementing Technical Standards on additional liquidity monitoring metrics under Article 415(3)(b) of CRR (EBA/Op/2015/16)

Tue 22 Sep, 2015

FSB, BCBS, CPMI and IOSCO publish 2015 CCP Workplan (dated 15 April 2015) and Progress Report on the CCP Workplan on the coordination of international policy work aimed at enhancing the resilience, recovery planning and resolvability of CCPs

Tue 22 Sep, 2015

EBA publishes Consultation Paper Guidelines on the application of the definition of default under Article 178 of CRR (EBA/CP/2015/15)

Fri 18 Sep, 2015

PRA publish consultation paper on approach to ring-fencing transfer schemes (CP33/15)

Fri 18 Sep, 2015

UCITS |

ESMA publishes Final report Draft Implementing Technical Standards on penalties and measures under UCITS IV (ESMA/2015/1409)

Wed 16 Sep, 2015

EMIR |

Entry into force of COMMISSION DELEGATED REGULATION (EU) amending EMIR as regards the extension of the transitional periods related to pension scheme arrangements (2015/1515)

Tue 01 Sep, 2015

A joint BCBS, CPMI, FSB and IOSCO study group is established to identify, quantify and analyse interdependencies between CCPs and clearing members

Mon 31 Aug, 2015

ESMA publishes Consultation Paper on the remaining ITS under MiFID II that it had not already consulted on, namely suspension and removal of financial instruments from trading on a trading venue, data reporting services providers (DRSPs) and weekly aggregated position reports for commodity derivatives and emission allowances (ESMA/2015/1301)

Wed 26 Aug, 2015

EMIR |

ESMA publishes DP on Review of Article 26 of RTS No 153/2013 with respect to client accounts under EMIR (ESMA/2015/1295)

Tue 25 Aug, 2015

EMIR |

ESCB publishes report on the need for any measure to facilitate the access of CCPs to central bank liquidity facilities under Article 85 EMIR

Fri 21 Aug, 2015

Deadline for SIPS designated on 21 August 2014 to comply with Regulation on oversight requirements for SIPS 

Mon 17 Aug, 2015

EMIR |

EU Commission to assess importance of non-financial firms in OTC derivatives and effectiveness of EMIR to EP and EU Council

Fri 14 Aug, 2015

BRRD |

EBA publishes Technical advice on classes of arrangements to be protected in a partial property transfer under BRRD (EBA/Op/2015/15)

Thu 13 Aug, 2015

EMIR |

ESMA publishes EMIR Review Report no.1- Review on the use of OTC derivatives by non-financial counterparties (ESMA/2015/1251) , EMIR Review Report no.2- Review on the efficiency of margining requirements to limit procyclicality (ESMA/2015/1252), EMIR Review Report no.3- Review on the segregation and portability requirements (ESMA/2015/1253) and EMIR Review Report no.4- ESMA input as part of the Commission consultation on the EMIR Review ( ESMA/2015/1254)

Wed 05 Aug, 2015

EBA publishes Consultation Paper Draft Regulatory Technical Standards On the procedures for excluding transactions with non-financial counterparties (NFC) established in a third country from the own funds requirement for Credit Valuation Adjustment (CVA) risk under Article 382(5) of CRR (EBA/CP/2015/14)

Wed 05 Aug, 2015

European Commission publishes Report on the rules governing the levels of application of banking prudential requirement (COM(2015) 388 final)

Mon 03 Aug, 2015

UCITS |

ESMA publishes REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND THE COUNCIL on the exercise of delegation of powers to the Commission to adopt implementing measures pursuant to Article 112a of UCITS IV (COM(2015) 384 final)

Fri 31 Jul, 2015

ICE Benchmark Administration publishes second position paper on LIBOR

Fri 31 Jul, 2015

EBA publishes Discussion Paper and Call for Evidence on SMEs and the SME Supporting Factor Preliminary analysis and call for evidence for the EBA report on SMEs and SME Supporting Factor in accordance with the EBA mandate in Article 501 CRR (EBA/DP/2015/02)

Thu 30 Jul, 2015

AIFMD |

ESMA publishes Advice to the European Parliament, the Council and the Commission on the application of the AIFMD passport to non-EU AIFMs and AIFs (Guernsey, Hong Kong, Jersey, Switzerland, Singapore and the United States) (ESMA/2015/1236)

Tue 28 Jul, 2015

EMIR |

ESRB publishes report on the efficiency of margining requirements to limit pro-cyclicality and the need to define additional intervention capacity in this area and report on  issues to be considered in the EMIR revision other than the efficiency of margining requirements

Fri 24 Jul, 2015

A new sterling money market data collection and the reform of SONIA: public consultation of the Bank of England

Thu 23 Jul, 2015

AIFMD | UCITS |

ESMA publishes Consultation Paper Guidelines on sound remuneration policies under the UCITS Directive and AIFMD (2015/ESMA/1172)

Wed 22 Jul, 2015

EBA publishes Report results from the 2014 low default portfolio (LDP) exercise

Wed 22 Jul, 2015

EBA publishes Report counterparty credit risk (internal model method and credit valuation adjustment) benchmarking exercise

Tue 21 Jul, 2015

End of conformance period, unless extended for another year by the FRB. The banking entities covered by the Volcker Rule will be required to fully conform their activities and investments to the statute and regulations. (Except for CLOs – 21 July 2017) 

Tue 21 Jul, 2015

Deadline to adopt a compliance program, unless the banking entity does not engage in activities covered by the Volcker Rule. Light, standard or enhanced compliance program depending on the total consolidated assets.

Thu 16 Jul, 2015

Swaps Push-Out Rule becomes effective, unless an additional delay of up to one additional year is granted by the OCC or the Board of Governors of the Federal Reserve System (as detailed in the Guidance from the OCC and the Interim Final Rule from the Board of Governors of the Federal Reserve System)

Thu 16 Jul, 2015

EBA publishes Final Report Final Draft Regulatory Technical Standards correcting Delegated Regulation (EU) No 528/2014 supplementing Regulation (EU) No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards for non-delta risk of options in the standardised market risk approach and correcting Delegated Regulation (EU) No 604/2014 supplementing Directive 2013/36/EU of the European Parliament and of the Council with regard to regulatory technical standards with respect to qualitative and appropriate quantitative criteria to identify categories of staff whose professional activities have a material impact on an institution’s risk profile (EBA/RTS/2015/09)

Wed 15 Jul, 2015

DG FISMA publishes consultation paper on the possible impact of the CRR and CRD IV on bank financing of the economy

Thu 09 Jul, 2015

FSB’s OSSG publishes an interim progress report on implementation of benchmark reforms

Thu 09 Jul, 2015

BRRD |

EBA publishes final draft ITS on the form and content of disclosure of financial support agreements under Article 26 of BRRD (EBA/ITS/2015/07), final draft RTS specifying the conditions for group financial support under Article 23 BRRD (EBA/RTS/2015/08) and Guidelines specifying the conditions for group financial support under Article 23 BRRD (EBA/GL/2015/17)

Thu 09 Jul, 2015

Entry into force of Commission Delegated Regulation (EU) 2015/942 of 4 March 2015 amending Delegated Regulation (EU) No 529/2014 supplementing CRR as regards regulatory technical standards for assessing the materiality of extensions and changes of internal approaches when calculating own funds requirements for market risk

Tue 07 Jul, 2015

BRRD |

EBA publishes final draft ITS on procedures, forms and templates for the provision of information for resolution plans under Article 11(3) BRRD (EBA/ITS/2015/06)

Tue 07 Jul, 2015

BRRD |

EBA publishes Final Guidelines to apply simplified RRP obligations for non-systemically important firms under Art. 4 (5) BRRD (EBA/GL/2015/16)

Tue 07 Jul, 2015

BRRD |

EBA publishes Final Report Draft ITS on the uniform formats, templates and definitions for the identification and transmission of information by competent authorities and resolution authorities to the EBA for the purposes of Article 4(7) BRRD (EBA/ITS/2015/05)

Tue 07 Jul, 2015

Entry into force of Commission Delegated Regulation (EU) 2015/923 of 11 March 2015 amending Delegated Regulation (EU) No 241/2014 supplementing CRR with regard to regulatory technical standards for own funds requirements for institutions

Mon 06 Jul, 2015

BRRD |

EBA final draft RTS on independent valuers under Article 36(14) BRRD (EBA/RTS/2015/07)

Mon 06 Jul, 2015

EBA publishes Consultation Paper Draft Regulatory Technical Standards on the conditions that competent authorities shall take into account when determining higher risk-weights, in particular the term of “financial stability considerations” under Article 124(4)(b) CRR and the conditions that competent authorities shall take into account when determining higher minimum LGD values under Article 164(6) CRR (EBA/CP/2015/12)

Fri 03 Jul, 2015

BRRD |

EBA final draft RTS on resolution colleges under Article 88(7) BRRD (EBA/RTS/2015/03)

Fri 03 Jul, 2015

BRRD |

EBA final draft RTS on procedures and contents of notifications referred to in Article 81(1), (2) and (3) and the notice of suspension referred to in Article 83 BRRD (EBA/RTS/2015/04)

Fri 03 Jul, 2015

BRRD |

EBA final draft RTS on procedures and contents of notifications  criteria to set the minimum requirement for own funds and eligible liabilities (MREL) as per Article 45(2) BRRD (EBA/RTS/2015/05)

Fri 03 Jul, 2015

BRRD |

EBA final draft RTS  on contractual recognition of write-down and conversion powers under Article 55(1) BRRD (EBA/RTS/2015/06)

Fri 03 Jul, 2015

EBA publishes Opinion  on the Commission intention to amend draft Regulatory Technical Standards specifying the derogations concerning currencies with constraints on the availability of liquid assets according to Article 419(5) CRR (EBA/Op/2015/13)

Wed 01 Jul, 2015

EMIR |

Reporting obligation to ESMA commences, if TR unavailable

Tue 30 Jun, 2015

ICE Benchmark Administration will have considered the recommended LIBOR methodology and the viability of each LIBOR tenor (end of Q2, expected)

Mon 29 Jun, 2015

ESMA publishes Final Report MiFID II/MiFIR draft Technical Standards on authorisation, passporting, registration of third country firms and cooperation between competent authorities (ESMA/2015/1006)

Fri 26 Jun, 2015

European Commision DG FISMA publishes Call for advice to the EBA for the purposes of the Net Stable Funding Requirements and the Leverage Ratio (Ref. Ares(2015)2691431)

Tue 23 Jun, 2015

EBA publishes final draft Implementing Technical Standards amending Commission Implementing Regulation (EU) No 680/2014 (ITS on supervisory reporting) with regard to the Liquidity Coverage Ratio (LCR) following the EC’s Delegated Act specifying the LCR

Mon 22 Jun, 2015

Entry into force of Commission Delegated Regulation (EU) 2015/850 of 30 January 2015 amending Delegated Regulation (EU) No 241/2014 supplementing CRR with regard to regulatory technical standards for Own Funds requirements for institutions

Mon 15 Jun, 2015

EBA publishes final draft Implementing Technical Standards amending Commission Implementing Regulation (EU) No 680/2014 (ITS on supervisory reporting) with regard to the Leverage Ratio (LR) following the EC’s Delegated Act on the LR (EBA/ITS/2015/03)

Wed 10 Jun, 2015

Final Report – UK Fair and Effective Markets Review on Fixed Income, Currency and Commodities (FICC) markets

Wed 10 Jun, 2015

EMIR |

EBA, EIOPA and ESMA publish a second CP on draft RTS on risk-mitigation techniques for OTC-derivative contracts not cleared by a CCP (Comments must be received by 10 July 2015) (JC/CP/2015/002)

Wed 03 Jun, 2015

EBA publishes final Report Final Draft Regulatory Technical Standards on the specification of the assessment methodology under which competent authorities permit institutions to use Advanced Measurement Approaches (AMA) for operational risk in accordance with Article 312 of CRR (EBA/RTS/2015/02)

Mon 01 Jun, 2015

“Second Half of 2015” – G-SII 2014 scores to be updated

Mon 01 Jun, 2015

CASS |

PS14/9: final tranche of changes to UK CASS rules take effect

Mon 01 Jun, 2015

IOSCO conducts a second review of implementation of principles on benchmarks by WM/Reuters 4 p.m. Closing Spot Rate (expected)

Mon 01 Jun, 2015

Entry into force of Commission Implementing Regulation (EU) 2015/1278 of 9 July 2015 amending Implementing Regulation (EU) No 680/2014 laying down implementing technical standards with regard to supervisory reporting of institutions as regards instructions, templates and definitions

Tue 26 May, 2015

BRRD |

EBA publishes Final report on Guidelines on the interpretation of the different circumstances when an institution shall be considered as failing or likely to fail under Article 32(6) BRRD (EBA/GL/2015/07)

Wed 20 May, 2015

BRRD |

EBA publishes Final Draft Guidelines on factual circumstances amounting to a material threat to financial stability and on the elements related to the effectiveness of the sale of business tool under Article 39(4) BRRD (EBA/GL/2015/04), Final Draft Guidelines on the determination of when the liquidation of assets or liabilities under normal insolvency proceedings could have an adverse effect on one or more financial markets under Article 42(14) BRRD (EBA/GL/2015/05), Final Draft Guidelines on the minimum list of services or facilities that are necessary to enable a recipient to operate a business transferred to it under Article 65(5) BRRD (EBA/GL/2015/06)

Mon 18 May, 2015

Compliance date of SEC Final Rule on Regulation SBSR – Reporting and Dissemination of Security-based Swaps Information

Fri 15 May, 2015

Expiry of CFTC “MAT/Agency MBS”  no-action relief for counterparties to certain package transactions, SEFs and DCMs (execution on a SEF or DCM, SEF or DCM to offer any method of execution) (Letter no. 14-137)

Wed 13 May, 2015

BRRD |

EBA publishes CP on Draft RTS on the valuation of derivatives pursuant to Article 49(4) BRRD (EBA/CP/2015/10)

Mon 11 May, 2015

Announcement of a delayed submission of the MiFID II and MiFIR RTS from July to September 2015 in a letter from ESMA to the European Commission

Mon 11 May, 2015

EMIR |

ESMA publishes CP on Clearing Obligation under EMIR (no.4) (ESMA/2015/807)

Mon 11 May, 2015

EBA publishes Consultation Paper Draft Regulatory Technical Standards on Assigning Risk Weights to Specialised Lending Exposures under Article 153(9) of CRR (EBA/CP/2015/09)

Fri 08 May, 2015

BRRD |

EBA publishes Final report on Guidelines on triggers for use of early intervention measures pursuant to Article 27(4) BRRD (EBA/GL/2015/03)

Thu 07 May, 2015

EBA publishes Consultation Paper Draft Implementing Technical Standards On the mapping of ECAIs’ credit assessments for securitisation positions under Article 270 of CRR (EBA/CP/2015/08)

Wed 06 May, 2015

BRRD |

EBA publishes Final report on Guidelines on the minimum list of qualitative and quantitative recovery plan indicators under BRRD (EBA-GL-2015-02)

Wed 06 May, 2015

EMIR |

ESMA publishes Guidelines on the application of the definitions in Sections C6 and C7 of Annex I of MiFID, as relevant under EMIR (ESMA/2015/675)

Tue 05 May, 2015

Entry into force of Commission Delegated Regulation (EU) 2015/585 of 18 December 2014 supplementing CRR with regard to regulatory technical standards for the specification of margin periods of risk

Fri 01 May, 2015

Government’s proposed deadline for secondary legislation to be passed

Fri 01 May, 2015

ICE Benchmark Administration Limited publishes Feedback Statement on the evolution of ICE LIBOR

Wed 29 Apr, 2015

EBA publishes Consultation Paper Draft regulation amending the RTS on the identification methodology for global systemically important institutions (G-SIIs) Draft regulation amending the ITS on uniform format and dates for the disclosure by G-SIIs Draft revised guidelines on the further specification of the indicators of global systemic importance and their disclosure (EBA/CP/2015/07)

Thu 23 Apr, 2015

ESMA publishes Consultation Paper  on draft guidelines for the assessment of knowledge and competence in respect of articles 24 and 25 of  MiFID II (ESMA/2015/753)

Thu 16 Apr, 2015

AIFMD |

Entry into force of Commission Delegated Regulation (EU) 2015/514 of 18 December 2014 on the information to be provided by competent authorities to the European Securities and Markets Authority pursuant to Article 67(3) of AIFMD

Mon 13 Apr, 2015

Entry into force of Commission Delegated Regulation (EU) 2015/488 of 4 September 2014 amending Delegated Regulation (EU) No 241/2014 as regards own funds requirements for firms based on fixed overheads

Wed 01 Apr, 2015

Regulation by the FCA of 7 additional benchmarks

Tue 31 Mar, 2015

ICE Benchmark Administration will have worked with contributing banks to analyse available transaction data on LIBOR (end Q1, expected)

Tue 24 Mar, 2015

ESMA publishes Consultation Paper on Draft guidelines on complex debt instruments and structured deposits (ESMA/2015/610)

Thu 19 Mar, 2015

SEC publishes Final Rule on Regulation SBSR – Reporting and Dissemination of Security-based Swaps Information and Final Rule on Security-based Swap Data Repository Registration, Duties and Core Principles

Thu 19 Mar, 2015

EBA publishes Consultation Paper Draft EBA Guidelines on limits on exposures to shadow banking entities which carry out banking activities outside a regulated framework under Article 395 para. 2 CRR (EBA/CP/2015/06)

Wed 18 Mar, 2015

BCBS/IOSCO publish a revised final framework for margin requirements for non-centrally cleared derivatives, with an updated timeline

Wed 18 Mar, 2015

EBA publishes final draft Implementing Technical Standards on reporting amending Commission Implementing Regulation (EU) No 680/2014 laying down implementing technical standards with regard to supervisory reporting of institutions according to CRR of the European Parliament and of the Council (EBA/ITS/2015/02)

Sun 15 Mar, 2015

FATCA |
  • Tax return reporting begins (Form 1042)
  • Information return reporting begins (Forms 1042-s)

Thu 12 Mar, 2015

BRRD |

HM Treasury publishes revised version of the Banking Act 2009 Special Resolution Regime code of practice (Section 1 relates to bail-in)

Wed 11 Mar, 2015

Expiry of CFTC time-limited no-action relief from “E-reporting via New Form 102B”, for the Ownership and Control Reports (OCR) data reporting requirements. (Letter 14-95)

Mon 09 Mar, 2015

BRRD |

EBA publishes a CP on draft RTS and guidelines on business reorganisation plans under the BRRD (these plans are required after a resolution authority has used the bail-in tool (see Article 43(2) of the BRRD)) (EBA/CP/2015/05)

Mon 09 Mar, 2015

EMIR |

ESMA publishes updated opinion and updated draft RTS for clearing of IRS

Fri 06 Mar, 2015

BRRD |

EBA publishes Technical advice on the definition of critical functions and core business lines (EBA/Op/2015/05) , Technical advice on the deferral of extraordinary ex-post contributions to financial arrangements under Article 104 of the BRRD (EBA/Op/2015/06)  and  Technical advice on circumstances when exclusions from the bail-in tool are necessary (EBA/Op/2015/07)

Fri 06 Mar, 2015

BRRD |

EBA publishes a CP on draft RTS on a minimum set of the information on financial contracts that should be contained in “detailed records” required by Article 71(8) of the BRRD (EBA/CP/2015/04)

Fri 06 Mar, 2015

Entry into force of Commission Implementing Regulation (EU) 2015/233 of 13 February 2015 laying down implementing technical standards with regard to currencies in which there is an extremely narrow definition of central bank eligibility pursuant to CRR

Wed 04 Mar, 2015

EBA publishes Consultation Paper Draft Guidelines on sound remuneration policies under Article 74(3) and 75(2) of CRD IV and disclosures under Article 450 of CRR (EBA/CP/2015/03)

Mon 02 Mar, 2015

Deadline for responses to ESMA consultation paper on MiFID II / MiFIR (ESMA/2014/1570)

Mon 02 Mar, 2015

EBA publishes final Draft Regulatory Technical Standards on benchmarking portfolio assessment standards and assessment sharing procedures under Article 78 of CRD IV and EBA Final Draft Implementing Technical Standards on benchmarking portfolios, templates, definitions and IT solutions under Article 78 of CRD IV (EBA /RTS/2015/01) (EBA /ITS/2015/01)

Mon 02 Mar, 2015

EBA publishes Technical advice For the purposes of the report pursuant to Article 78(9) of CRD IV (EBA/Op/2015/04)

Thu 26 Feb, 2015

CPMI-IOSCO publish Public quantitative disclosure standards for CCPs

Wed 25 Feb, 2015

EBA publishes  Report On Credit Valuation Adjustment (CVA) under Article 456(2) of CRR and Review On the application of CVA charges to non-financial counterparties established in a third country under Article 382(5) of CRR  (EBA REPORT ON CVA)

Sat 21 Feb, 2015

Entry into force of Commission Implementing Regulation (EU) 2015/227 of 9 January 2015 amending Implementing Regulation (EU) No 680/2014 laying down implementing technical standards with regard to supervisory reporting of institutions according to CRR

Thu 19 Feb, 2015

FCA publishes Feedback statement on DP14/3 – Discussion on the use of dealing commission regime, related to MiFID II (FS15/1)

Wed 18 Feb, 2015

ESMA publishes Addendum Consultation Paper on MiFID II/MiFIR on transparency requirements for non-equity instruments (ESMA/2015/319) (complements CP ESMA/2014/1570 covering partly the same topic)

Tue 17 Feb, 2015

EBA publishes Opinion  on the review of the appropriateness of the definition of ‘eligible capital’ pursuant to Article 517 of CRR (EBA/Op/2015/01)

Sun 15 Feb, 2015

Expiry of CFTC “MAT/Non-MAT (Uncleared), MAT/Non-Swap Instruments and MAT/Non-CFTC Swap”  time-limited no-action relief for counterparties, SEFs and DCMs (execution on a SEF or DCM) (Letter no. 14-137)

Wed 11 Feb, 2015

Expiry of CFTC time-limited no-action relief for “E-reporting via New Form 102A and New Form 102S”, for the Ownership and Control Reports (OCR) data reporting requirements. (Letter 14-95)

 

Tue 10 Feb, 2015

Entry into force of Commission Implementing Regulation (EU) 2015/79 of 18 December 2014 amending Implementing Regulation (EU) No 680/2014 laying down implementing technical standards with regard to supervisory reporting of institutions according to CRR as regards asset encumbrance, single data point model and validation rules

Fri 06 Feb, 2015

Entry into force of Commission Delegated Regulation (EU) 2015/61 of 10 October 2014 to supplement CRR with regard to liquidity coverage requirement for Credit Institutions (application from 1 October 2015)

Wed 04 Feb, 2015

EMIR |

ESMA releases Feedback Statement indicating it does not propose to impose clearing obligation on the NDF classes at this stage (2015/ESMA/234)

Tue 03 Feb, 2015

EMIR |

Commission publishes report under EMIR assessing the progress and effort made by CCPs in developing technical solutions for the transfer by pension scheme arrangements of non cash collateral as variation margins, as well as the need for any measures to facilitate such solution (Article 85(2)) (COM(2015) 39 final)

Fri 30 Jan, 2015

EBA to compute denominators for the year 2014 based on indicator values provided by national authorities

Thu 29 Jan, 2015

EMIR |

Deadline for ESMA to re-submit the final draft RTS on mandatory clearing of IRS,as the EC indicated on 18 December 2014 its intention to endorse with amendments the draft final RTS initially submitted

Thu 29 Jan, 2015

EMIR |

The Commission sends to ESMA a corrigendum to the letter dated 18 December 2014 together with the modified IRS RTS

Wed 28 Jan, 2015

IOSCO publishes Final Report Risk Mitigation Standards for Non-centrally Cleared OTC Derivatives (FR01/2015)

Mon 26 Jan, 2015

ISDA publishes position paper on CCP Default Management, Recovery and Continuity: A Proposed Recovery Framework

Fri 23 Jan, 2015

EBA publishes final draft Regulatory Technical Standards on prudent valuation under Article 105(14) of CRR (EBA/RTS/2014/06/rev1)

Fri 23 Jan, 2015

Entry into force of Council Implementing Regulation (EU) 2015/81 of 19 December 2014 specifying uniform conditions of application of Regulation (EU) No 806/2014 of the European Parliament and of the Council with regard to ex ante contributions to the Single Resolution Fund

Thu 22 Jan, 2015

EMIR |

Athens Exchange Clearing House (AthexClear) authorised as CCP under EMIR

Wed 21 Jan, 2015

National authorities to report indicator values to the EBA based on data for financial year-ends prior to July 2014 for entities in the initial sample of 75 largest EU and non-EU banks.

Thu 15 Jan, 2015

Consultation period for ESMA consultation paper on definition of “commodity derivatives” closes

Wed 14 Jan, 2015

EBA to determine initial sample of 75 largest EU and non-EU banks

Wed 14 Jan, 2015

BRRD |

EBA publishes Draft ITS on procedures, forms and templates for the provision of information for resolution plans under Article 11(3) BRRD (EBA/CP/2015/01)

Mon 12 Jan, 2015

Terrorism Risk  Insurance Program Reauthorization Act of 2015 (TRIPRA) signed into law, amending sections 731 and 764 of the Dodd-Frank Act (Section 302)

Fri 09 Jan, 2015

EMIR |

CME Clearing Europe Ltd is granted an extension of authorisation as CCP under EMIR

Thu 08 Jan, 2015

EMIR |

ESMA publishes a review of CCP colleges under EMIR (ESMA/2015/20)

Fri 02 Jan, 2015

BRRD |

Expiry of EBA consultation on qualitative\quantitative recovery plan indicators

Thu 01 Jan, 2015

Regulatory Technical Standards (RTS) on G-SII identification methodology comes into effect (expected)

Thu 01 Jan, 2015

“Early 2015”  – National authorities to identify G-SIIs based on 2014 score

Thu 01 Jan, 2015

IOSCO reviews the “Principles for Financial Benchmarks” (expected)

Thu 01 Jan, 2015

EMIR |

Provisions on weekly or daily calculation of hypothetical capital start applying (ITS 484/2014)

Thu 01 Jan, 2015

Start of application of  provisions on requirements for single liquidity sub-group and disclosure of leverage ratio (CRR)

Thu 01 Jan, 2015

PRA Clawback rule applies

Thu 01 Jan, 2015

T+2 settlement cycle should be mandatory under Regulation on improving securities settlement and regulating central securities depositories (CSDs) (Expected)

Thu 01 Jan, 2015

US: phase-in application of Liquidity Coverage Ratio (LCR), for banks with total consolidated assets in excess of $250bn 80%

Thu 01 Jan, 2015

EU Commission to publish a proposal on recovery and resolution for financial market infrastructure (CCPs)(expected)

Thu 01 Jan, 2015

Start of application of Delegated Regulation (1222/2014) on RTS for the specification of the methodology for the identification of global systemically important institutions (G-SIIs) and the definition of subcategories of G-SIIs

Thu 01 Jan, 2015

BRRD-imposed national resolution funds to be replaced by the SRF

Thu 01 Jan, 2015

Entry into force of Commission Implementing Decision of 12 December 2014 on the equivalence of the supervisory and regulatory requirements of certain third countries and territories for the purposes of the treatment of exposures according to CRR (2014/908/EU)

Wed 31 Dec, 2014

EMIR |

ESMA reports to EU Commission on functioning of EMIR and extension of CCP interoperability arrangements beyond cash securities

Wed 31 Dec, 2014

BRRD |

Deadline for member states to adopt and publish implementing legislation and regulations, which should apply from 1 January 2015 (except for bail-in provisions which should apply from 1 January 2016 at the latest)

Wed 31 Dec, 2014

FATCA |

Deadline for FFIs to complete remediation on pre-existing entity and high value accounts held by Prima Facie FFIs*

*Provided PFFIs FFI agreement is approved by IRS and effective on 31/12/13

Wed 31 Dec, 2014

Deadline for administrators of Euribor, Libor and Tibor to provide to their regulatory authority  the work plan to align with IOSCO’s principles

Wed 31 Dec, 2014

FCA & PRA deadline for LEI submission

Wed 31 Dec, 2014

Expiration of relief granted to LCH Clearnet and Nodal Exchange LLC pending LCH DCO application

Tue 23 Dec, 2014

EBA final draft Regulatory Technical Standards specifying conditions according to which competent authorities may permit institutions to use relevant data covering shorter time period (data waiver permission) (EBA/RTS/2014/14)

Tue 23 Dec, 2014

EBA publishes Guidelines on materiality, proprietary and confidentiality and on disclosure frequency under Articles 432(1), 432(2) and 433 of CRR (EBA/GL/2014/14)

Tue 23 Dec, 2014

EBA publishes final draft Regulatory Technical Standards on disclosure of information in relation to the compliance of institutions with the requirement for a countercyclical capital buffer under Article 440 of CRR (EBA/RTS/2014/17)

Mon 22 Dec, 2014

FCA publishes CP- Bringing additional benchmarks into the regulatory and supervisory regime (CP14/32)

Mon 22 Dec, 2014

EBA publishes Opinion of the European Banking Authority on the securitisation retention, due diligence and disclosure requirements (EBA/OP/2014/14)

Mon 22 Dec, 2014

ESAs publish Joint Guidelines on the convergence of supervisory practices relating to the consistency of supervisory coordination arrangements for financial conglomerates (JC/GL/2014/01)

Fri 19 Dec, 2014

ESMA publishes consultation paper on MiFID II / MiFIR, in relation with investor protection, transparency, micro-structural issues, data publication and access, requirements applying on and to trading venues, commodity derivatives, market data reporting and post-trading issues (ESMA/2014/1570)

Fri 19 Dec, 2014

ESMA publishes final technical advice on MiFID II and MiFIR, in relation with investor protection, transparency, data publication, micro-structural issues, requirements applying on and to trading venues, commodity derivatives and portfolio compression (ESMA/2014/1569)

Fri 19 Dec, 2014

BRRD |

EBA publishes Final Draft RTS on the content of resolution plans and the assessment of resolvability under BRRD (EBA/RTS/2014/15), Guidelines on the specification of measures to reduce or remove impediments to resolvability and the circumstances in which each measure may be applied under BRRD (EBA/GL/2014/11) and CP on Draft RTS on procedures and contents of notifications referred to in Articles 81(1), (2) and (3) and the notice of suspension referred to in Article 83 of BRRD (EBA/CP/2014/47)

Fri 19 Dec, 2014

EBA publishes Final Report On draft Implementing Technical Standards on main indices and recognised exchanges under the CRR (ESMA/2014/1571)

Fri 19 Dec, 2014

EBA publishes final draft regulatory and implementing technical standards on colleges of supervisors in accordance Articles 51 and 116 of CRD IV (EBA/RTS/2014/16) (EBA/ITS/2014/07)

Fri 19 Dec, 2014

EBA publishes Guidelines on common procedures and methodologies for the supervisory review and evaluation process (SREP) (EBA/GL/2014/13)

Thu 18 Dec, 2014

EMIR |

Commission sent a letter informing ESMA of its intention to endorse with amendments the draft RTS on clearing of IRS

Thu 18 Dec, 2014

BRRD |

EBA publishes CP on Draft RTS on Resolution Colleges under Article 88(7) BRRD (EBA/CP/2014/46)

Thu 18 Dec, 2014

EBA publishes final draft Implementing Technical Standards on Joint Decisions on Prudential Requirements in accordance with Article 20 of CRR (EBA/ITS/2014/06)

Tue 16 Dec, 2014

EBA publishes Consultation Paper Draft Implementing Technical Standards amending Commission Implementing Regulation (EU) No 680/2014 (ITS on supervisory reporting) with regard to the Liquidity Coverage Ratio (LCR) following the EC’s Delegated Act specifying the LCR (EBA/CP/2014/45)

Tue 16 Dec, 2014

EBA publishes Consultation Paper Draft Implementing Technical Standards amending Commission Implementing Regulation (EU) No 680/2014 (ITS on supervisory reporting) with regard to the Leverage Ratio (LR) following the EC’s Delegated Act on the LR (EBA/CP/2014/44)

Tue 16 Dec, 2014

EBA publishes Guidelines On the criteria to determine the conditions of application of Article 131(3) of CRD IV in relation to the assessment of other systemically important institutions (O-SIIs) (EBA/GL/2014/10)

Fri 12 Dec, 2014

EMIR |

Holland Clearing House B.V. authorised as CCP under EMIR

Thu 11 Dec, 2014

European Parliament’s Economic and Monetary Affairs Committee (ECON) publishes a draft report on benchmark proposal

Thu 11 Dec, 2014

EBA publishes final technical advice on criteria and factors for intervention on structured deposits under MiFIR (Op/2014/13)

Thu 11 Dec, 2014

Entry into force of Commission Delegated Regulation (EU) No 1310/2014 of 8 October 2014 on the provisional system of instalments on contributions to cover the administrative expenditures of the Single Resolution Board during the provisional period

Tue 09 Dec, 2014

Section 716 of Dodd-Frank, the “push-out” / “Lincoln” rule,  is amended. The amendment confines the rule’s application to ABS that are not eligible for hedging exemptions (Consolidated and Further Continuing Appropriations Act, 2015’)

Fri 05 Dec, 2014

deadline to inform PRA of inability to meet 31/12/14 LEI deadline

Fri 05 Dec, 2014

Entry into force of Commission Delegated Regulation (EU) No 1222/2014 of 8 October 2014 supplementing CRD IV with regard to regulatory technical standards for the specification of the methodology for the identification of global systemically important institutions and for the definition of subcategories of global systemically important institutions (application from 1 January 2015)

Mon 01 Dec, 2014

CASS |

PS 14/9: Second tranche of changes to UK CASS rules take effect

Mon 01 Dec, 2014

Expiry of CFTC “SDR Reporting Rules” time-limited no-action relief for certain SDs and MSPs established under the laws of Australia, Canada, the European Union, Japan or Switzerland. (Letter no. 13-75), subject to further time-limited no-action relief until 1 December 2015 at the latest (Letter no. 14-141).

Mon 01 Dec, 2014

AIFMD |

ESMA publishes Consultation Paper Guidelines on asset segregation under the AIFMD (ESMA/2014/1326)

Fri 28 Nov, 2014

BRRD |

EBA publishes CP on Draft RTS on criteria for determining the minimum requirement for own funds and eligible liabilities under BRRD (EBA/CP/2014/41)

Fri 28 Nov, 2014

UCITS |

ESMA publishes Final Report ESMA’s technical advice to the European Commission on delegated acts required by the UCITS V Directive (ESMA/2014/1417)

Thu 27 Nov, 2014

Entry into force of Commission Delegated Regulation (EU) No 1187/2014 of 2 October 2014 supplementing CRR as regards regulatory technical standards for determining the overall exposure to a client or a group of connected clients in respect of transactions with underlying assets

Mon 24 Nov, 2014

CFTC issues extension of time-limited no-action relief from certain SDR Reporting Rules for certain SDs and MSPs established under the laws of Australia, Canada, the European Union, Japan or Switzerland. Expiry at the latest on 1 December 2015 (Letter no. 14-141)

Mon 24 Nov, 2014

BRRD |

The UK publishes draft statutory instruments implementing BRRD

Mon 24 Nov, 2014

EMIR |

ESMA publishes a letter stating that the second RTS on clearing obligations will be delayed until the assessment process of the first RTS is finalised by the Commission (ESMA/2014/1385)

Wed 19 Nov, 2014

Entry into force of Commission Delegated Regulation (EU) No 1151/2014 of 4 June 2014 supplementing CRD IV with regard to regulatory technical standards on the information to be notified when exercising the right of establishment and the freedom to provide services

Wed 19 Nov, 2014

Entry into force of Commission Delegated Regulation (EU) No 1152/2014 of 4 June 2014 supplementing CRD IV with regard to regulatory technical standards on the identification of the geographical location of the relevant credit exposures for calculating institution-specific countercyclical capital buffer rates

Sat 15 Nov, 2014

Expiry of CFTC “MAT/Non-MAT Uncleared Package Transactions”, “MAT/Non-Swap Instruments Package Transactions (excluding U.S. Dollar Swap Spreads)” and “MAT/Non-CFTC Swap Package Transactions” time-limited no-action relief for counterparties, SEFs and DCMs. (Letter no. 14-62), subject to further time-limited no-action relief for counterparties to certain package transactions, SEFs and DCMs (Letter no. 14-137)

 

Sat 15 Nov, 2014

G20 Leaders’ Summit in Brisbane, Australia – Deadline for update on amendment or protocol for temporary suspension of termination rights under ISDA Master Agreement

Wed 12 Nov, 2014

EBA publishes Consultation Paper Draft Regulatory Technical Standards On the specification of the assessment methodology for competent authorities regarding compliance of an institution with the requirements to use the IRB Approach in accordance with Articles 144(2), 173(3) and 180(3)(b) of CRR (EBA/CP/2014/36)

Tue 11 Nov, 2014

BRRD |

EBA publishes CP on Draft Guidelines on the rate of conversion of debt to equity in bail-in under BRRD (EBA/CP/2014/39) and CP on Draft Guidelines on the treatment of shareholders in bail-in or the write-down and conversion of capital instruments under BRRD (EBA/CP/2014/40)

Mon 10 Nov, 2014

CFTC grants time-limited no-action relief for counterparties to certain package transactions, SEFs and DCMs. Expiry for MAT/Agency MBS on 15 May 2015 (execution on a SEF or DCM, SEF or DCM to offer any method of execution), Expiry for MAT/Non-MAT (Uncleared), MAT/Non-Swap Instruments and MAT/Non-CFTC Swap on 15 February 2015 (execution on a SEF or DCM) and 12 February 2016 (SEF or DCM to offer any method of execution, SEF or DCM to offer an Order Book), Expiry for MAT/New Issuance Bond on 12 February 2016 (execution on a SEF or DCM, SEF or DCM to offer any method of execution, SEF or DCM to offer an Order Book), Expiry for MAT/Futures on 14 November 2015 (execution on a SEF or DCM, SEF or DCM to offer any method of execution, SEF or DCM to offer an Order Book) (Letter no. 14-137)

Mon 10 Nov, 2014

EMIR |

ESMA publishes a CP on Review of the technical standards on reporting under Article 9 of EMIR. End of consultation on 13 February 2015. (ESMA/2014/1352)

Wed 05 Nov, 2014

BRRD |

EBA publishes CP on Draft RTS on the contractual recognition of write-down and conversion powers under Article 55(3) BRRD (EBA/CP/2014/33)

Tue 04 Nov, 2014

ECB takes its supervisory role under the SSM

Tue 04 Nov, 2014

ESAs publish Addendum to Consultation Paper JC/CP/2014/01 of 05.02.2014 regarding Draft Implementing Technical Standards On the mapping of ECAIs’ credit assessments under Article 136(1) and (3) of CRR (JC/CP/2014/01add)

Mon 03 Nov, 2014

Compliance date of CFTC IM Segregation Rules for uncleared swaps, covering transactions that are entered into with existing counterparties

Sat 01 Nov, 2014

BoE publishes CP on implementation of ESMA guidelines and recommendations on interoperability arrangements (including CCPs clearing derivatives)

Fri 31 Oct, 2014

BRRD |

Adoption of delegated acts on the adjustment of contributions to resolution financing arrangements in proportion to the risk profile of institutions (Expected)

Fri 31 Oct, 2014

EMIR |

OMIClear – C.C., S.A.authorised as CCP under EMIR

Fri 31 Oct, 2014

EBA publishes Consultation Paper Draft Regulatory Technical Standards on materiality threshold of credit obligation past due under Article 178 of CRR (EBA/CP/2014/32)

Thu 30 Oct, 2014

EMIR |

European Commission adopts ‘equivalence’ decisions (implementing acts) for the regulatory regimes of CCPs in Australia (2014/755), Hong Kong (2014/754), Japan (2014/752) and Singapore (2014/753).

Thu 30 Oct, 2014

European Commission publishes Report  General assessment of economic consequences of country-by-country disclosure requirements set out in Article 89 of Directive 2013/36/EU of the European Parliament and of the Council of 26 June 2013 (COM(2014) 676 final)

Wed 29 Oct, 2014

EBA publishes Opinion on the application of Articles 108 and 109 of CRD IV and of Part One, Title II and Article 113(6) and (7) of CRR (EBA/Op/2014/11)

Sun 26 Oct, 2014

ECB publishes a report on the results of the comprehensive assessment of banks in the single supervisory mechanism (SSM), including a stress test

Mon 20 Oct, 2014

ICE Benchmark Administration publishes first position paper on LIBOR

Mon 20 Oct, 2014

Entry into force of Commission Implementing Regulation (EU) No 1030/2014 of 29 September 2014 laying down implementing technical standards with regard to the uniform formats and date for the disclosure of the values used to identify global systemically important institutions according to CRR

Thu 16 Oct, 2014

FSB publishes a consultation paper on guidance on the identification of critical functions and critical shared services for systemically important insurers

Wed 15 Oct, 2014

EU Commission to adopt delegated act on the leverage ratio and LCR (expected)

Wed 15 Oct, 2014

FSB key attributes of Effective Resolution Regimes for non-bank financial institutions (expected)

Wed 15 Oct, 2014

FSB publishes updated version of “Key Attributes of Effective Resolution Regime for Financial Institutions” (originally published in November 2011)

Fri 10 Oct, 2014

EMIR |

Article 2 of RTS on extraterritorial jurisdiction of EMIR starts applying (concerning contracts with a “direct, substantial and foreseeable effect within the Union”) (285/2014)

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Mon 24 Jul, 2017

Extended CFTC order designating the Global Markets Entity Identifier utility (formerly known as the DTCC-SWIFT utility) and other pre-Local Operating Units as acceptable suppliers of approved LEIs expires.

Sat 22 Jul, 2017

AIFMD |

European Commission to start a review on the application and the scope of AIFMD (expected)

Fri 21 Jul, 2017

End of conformance period for banking entities to conform their ownership interests in, and sponsorship of, certain collateralised loan obligations (CLOs)

Thu 13 Jul, 2017

SFTR |

Transparency of collective investment undertakings in pre-contractual documents under SFTR starts applying (See article 14)

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