Recent Reg-Track Rules

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

  1. On Sep. 19, FINMA announced closing fake cryptocurrency provider.

  2. On Sep. 15, HK SFC issued non-compliance findings with advisors.

  3. On Sep. 18, FCA issued statement on remaining MiFID authorizations.

  4. On Sep. 18, Nasdaq proposed designation of SCAN/RTFY order types.

  5. On Sep. 17, Basel issued report on central bank cyptocurrencies.

  6. On Sep. 4, Chinese regulators banned initial coin offering ICO issues.

  7. On Sep. 6, AFM issued rules increasing small prospectus exemption.

  8. On Sep. 5, ECB issued statement from Danièle Nouy on bank failures.

  9. On Sep. 7, HKMA issued rules on noted types of operational incidents.

  10. On Sep. 7, NYDFS fined Habib Bank $225mn and ordered closure re AML.